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NK

Nicole A. Keating

TRUIST ADVISORY SERVICES
ALTAMONTE SPRINGS, FL 32714
Some features on this profile are disabled
CRD#: 5744784
NK

Professional summary

Nicole Ann Keating, who also goes by Nicole Ann Crook, Nicole Keating, Nicole Ann Stryker, Nicole Ann Stryker-crook, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Altamonte Springs, Florida and TRUIST INVESTMENT SERVICES, INC. located in Altamonte Springs, Florida.

Nicole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Nicole has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Nicole Ann Crook | Nicole Keating | Nicole Ann Stryker | Nicole Ann Stryker-Crook

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicole Ann Keating's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

March 11, 2020 - Present

TRUIST ADVISORY SERVICES, INC.

Office #1: 888 W Highway 436, Altamonte Springs, FL 32714
RIA
CRD#: 283390
ALTAMONTE SPRINGS, FL
Current

July 26, 2019 - Present

TRUIST INVESTMENT SERVICES, INC.

Office #1: 888 W State Rd 436, Altamonte Springs, FL 32714Office #2: 400 S Park Ave, Winter Park, FL 32789
BD
CRD#: 17499
Altamonte Springs, FL
Past

June 21, 2010 - October 3, 2014

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
MAITLAND, FL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TA
TRUIST ADVISORY SERVICES, INC.
SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.

CRD#: 283390 / SEC#: 801-107729

RIA
Registered Investment Advisory firm - (5/18/2016 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(7/29/2019)
IAR
Florida
(3/11/2020)
RR
Georgia
(10/8/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/4/2020
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/7/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/3/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 7/26/2019
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/27/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 6/18/2010
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TA
TRUIST ADVISORY SERVICES, INC.
SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.

CRD#: 283390 / SEC#: 801-107729

RIA
Registered Investment Advisory firm - (5/18/2016 Approved)
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Contact information

Main Address
303 Peachtree Street 2nd Floor, Atlanta, GA 30303
Mailing Address
Po Box 4418 Mc 107, Atlanta, GA 30302
Phone number
(800) 874-4770
Established
Firm type
Fiscal year end
# of Employees
2,469

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

TAS AMC WRAP MANAGED PROGRAMS BROCHURE (10/31/2025)
TAS CONSULTING SERVICES AMC ADVANTAGE FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts124,363
AUM (Assets Under Management)$ 67,736,740,585

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
04/24/2025
Cover Page
Report
03/28/2024
Cover Page
Report
04/26/2023
Cover Page
Report

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.

Company Information

TRUIST ADVISORY SERVICES, INC.

CRD#: 283390Altamonte Springs, FL 32714

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