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KW

Kevin M. Worm

TRUIST INVESTMENT SERVICES
Lancaster, PA 17601
Some features on this profile are disabled
CRD#: 5871840
KW

Professional summary

Kevin M Worm is a registered financial professional currently at TRUIST INVESTMENT SERVICES, INC. located in Lancaster, Pennsylvania.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 2011. Kevin has worked at 3 firms and has passed the Series 65, Series 63, Series 66, Series 7TO, SIE, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Kevin M Worm'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

January 6, 2026 - Present

TRUIST INVESTMENT SERVICES, INC.

Office #1: 1110 Corporate Blvd, Lancaster, PA 17601
BD
CRD#: 17499
Lancaster, PA
Past

October 18, 2016 - August 30, 2017

CITIZENS SECURITIES, INC.

RIA
CRD#: 39550
LANCASTER, PA
Past

September 11, 2014 - August 30, 2017

CITIZENS SECURITIES, INC.

BD
CRD#: 39550
LANCASTER, PA
Past

April 14, 2011 - October 14, 2011

MORGAN STANLEY

RIA
CRD#: 149777
BALTIMORE, MD
Past

February 15, 2011 - October 14, 2011

MORGAN STANLEY

BD
CRD#: 149777
BALTIMORE, MD

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 10/12/2016
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/13/2014
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 4/13/2011
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/5/2026
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/13/2025
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 9/11/2014
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 2/10/2011
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TI
TRUIST INVESTMENT SERVICES, INC.
ALEXANDER KEY | TRUIST INVESTMENT SERVICES, INC. | SUNTRUST SECURITIES, INC. | SUNTRUST SECURITIES INC | SUNTRUST INVESTMENT SERVICES, INC. | SUNTRUST BROKERAGE SERVICES, INC.

CRD#: 17499 / SEC#: 801-56443, 8-35355

BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information

Main Address
303 Peachtree Street Suntrust Garden Offices Suite 140, Atlanta, GA 30303
Mailing Address
303 Peachtree Street 2nd Floor, Atlanta, GA 30303
Phone number
(800) 874-4770
Established
Georgia since 11/27/1985
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

STIS AND THIRD PARTY MANAGED PROGRAMS FIRM WRAP BROCHURE (10/12/2016)
AMC ADVISOR MANAGED PROGRAMS FIRM BROCHURE (10/12/2016)
CONSULTING SERVICES FP AMC ADVANTAGE FIRM BROCHURE (3/17/2016)

Direct owners and executive officers

NamePositionCRD#
TRUIST FINANCIAL CORPORATIONHOLDING COMPANY
CALLENDER, EVELYN MICHELLETREASURER AND CHIEF FINANCIAL OFFICER7591739
CENTENO, PATRICIA REEDDEPUTY CHIEF COMPLIANCE OFFICER2239528
COBBS, JENI RACHELCOMPLIANCE OFFICER4354424
CRAM, BRYAN SCOTTVICE CHAIRMAN/EXECUTIVE VICE PRESIDENT2723431
DOWHOWER, BRIAN SEANCHAIRMAN/PRESIDENT/CHIEF EXECUTIVE OFFICER4202574
DUNN, JEFFREY TODDDIRECTOR/EXECUTIVE VICE PRESIDENT4228631
HECHTLINGER, SUSANDIRECTOR/CHIEF COMPLIANCE OFFICER/SENIOR VICE PRESIDENT2890466
MAVICO, CECILIA BAUTESENIOR VICE CHAIRMAN/CHIEF OPERATING OFFICER/CORPORATE SECRETARY3261303
NORMAN, ANNMARIE CARROLLCOMPLIANCE OFFICER2993726
STEARSMAN, SCOTT KENTDIRECTOR4067766
TYSON, TONYACHIEF OPERATIONS OFFICER/SENIOR VICE PRESIDENT/ASSISTANT CORPORATE SECRETARY1987448
WEHINGER, LEAH ROWEDIRECTOR/EXECUTIVE VICE PRESIDENT1719505

Disclosures

Regulatory Event13
Arbitration14
Bond2

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 INVESTMENT SERVICES, INC.

CRD#: 17499Lancaster, PA 17601

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