Nicolas A. Barone
Professional summary
Nicolas Andrew Barone, who also goes by Nicolas Barone, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Orlando, Florida and TRUIST INVESTMENT SERVICES, INC. located in Orlando, Florida.
Nicolas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Nicolas has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Nicolas Andrew Barone's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 19, 2017 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 2300 E Colonial Dr, Orlando, FL 32803December 9, 2016 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 2300 E Colonial Dr, Orlando, FL 32803Office #2: 4582 S Kirkman Rd, Orlando, FL 32811December 12, 2016 - January 6, 2017
TRUIST INVESTMENT SERVICES, INC.
April 4, 2014 - December 13, 2016
WELLS FARGO CLEARING SERVICES, LLC
August 2, 2013 - December 13, 2016
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
(1/13/2017)
(7/14/2025)
(1/6/2017)
(5/9/2024)
(1/6/2017)
(9/5/2017)
(1/6/2017)
(12/9/2016)
(1/19/2017)
(12/9/2016)
(1/6/2017)
(4/13/2020)
(1/13/2017)
(1/6/2017)
(1/6/2017)
(11/5/2024)
(1/6/2017)
(7/6/2021)
(1/6/2017)
(1/6/2017)
(1/9/2017)
(9/8/2017)
(11/5/2024)
(1/6/2017)
(1/6/2017)
(1/6/2017)
(1/6/2017)
(12/11/2020)
(1/13/2017)
(10/25/2019)
(11/5/2024)
(11/5/2024)
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
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