Karlo D. Rodriguez
Professional summary
Karlo David Rodriguez is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Knoxville, Tennessee and TRUIST INVESTMENT SERVICES, INC. located in Knoxville, Tennessee.
Karlo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2025. Karlo has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Karlo David Rodriguez's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 27, 2025 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 900 South Gay Street, Knoxville, TN 37902February 17, 2025 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 900 S Gay St Fl 24, Knoxville, TN 37902Primary 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
(3/26/2025)
(3/27/2025)
Exams
Series 7TO
Date: 2/15/2025
General Securities Representative ExaminationFINRA
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
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