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KW

Kevin M. Worm

TRUIST ADVISORY SERVICES
LANCASTER BLVD, PA 17601
Some features on this profile are disabled
CRD#: 5871840
KW

Professional summary

Kevin M Worm is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Lancaster Blvd, Pennsylvania and TRUIST INVESTMENT SERVICES, INC. located in Lancaster, Pennsylvania.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Kevin has worked at 4 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

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) - RIA

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

February 23, 2026 - Present

TRUIST ADVISORY SERVICES, INC.

Office #1: 1110 Corporate Blvd, Lancaster Blvd, PA 17601
RIA
CRD#: 283390
LANCASTER BLVD, PA
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

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

IAR
Pennsylvania
(2/23/2026)
RR
Pennsylvania
(3/2/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/21/2026
Uniform Combined State Law Examination
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
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

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 CONSULTING SERVICES AMC ADVANTAGE FIRM BROCHURE (12/1/2025)
TAS AMC WRAP MANAGED PROGRAMS BROCHURE (12/1/2025)

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#: 283390Lancaster Blvd, PA 17601

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