Steven Talley
Professional summary
Steven Talley, CFP® is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Warminste, Pennsylvania and TRUIST INVESTMENT SERVICES, INC. located in Warrington, Pennsylvania.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Steven has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Steven Talley's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2022
Experience
January 4, 2021 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 320 W Street Rd, Warminste, PA 18974January 4, 2021 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 1111 Easton Rd, Warrington, PA 18976Office #2: 200 Radcliffe St, Bristol, PA 19007Office #3: 1201 Buck Rd, Feasterville, PA 19053Office #4: 94 N Flower Mill Rd, Langhorne, PA 19047Office #5: 800 Route 113, Souderton, PA 18964November 9, 2018 - January 4, 2021
SANTANDER SECURITIES LLC
November 9, 2018 - January 4, 2021
SANTANDER SECURITIES LLC
January 23, 2017 - October 22, 2018
LPL FINANCIAL LLC
January 23, 2017 - October 22, 2018
LPL FINANCIAL LLC
November 24, 2014 - January 23, 2017
SANTANDER SECURITIES LLC
November 24, 2014 - January 23, 2017
SANTANDER SECURITIES LLC
December 20, 2012 - November 18, 2014
CITIZENS SECURITIES, INC.
December 20, 2012 - November 18, 2014
CITIZENS SECURITIES, INC.
March 15, 2011 - November 15, 2012
WELLS FARGO CLEARING SERVICES, LLC
June 3, 2009 - November 15, 2012
WELLS FARGO CLEARING SERVICES, LLC
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/1/2021)
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Exams
FINRA
Current Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 124,363 |
| AUM (Assets Under Management) | $ 67,736,740,585 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/24/2025 | ||
| 03/28/2024 | ||
| 04/26/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
