Frank C. Sardo
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Frank Christopher Sardo, who also goes by Frank C. Sardo, Frank Sardo, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 2014. Frank had worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2019 - April 18, 2022
TRUIST ADVISORY SERVICES, INC.
March 28, 2019 - April 18, 2022
TRUIST INVESTMENT SERVICES, INC.
December 18, 2018 - March 5, 2019
EDWARD JONES
December 17, 2018 - March 5, 2019
EDWARD JONES
March 22, 2018 - December 21, 2018
LPL FINANCIAL LLC
March 21, 2018 - December 21, 2018
LPL FINANCIAL LLC
November 22, 2016 - March 28, 2018
TRUIST ADVISORY SERVICES, INC.
August 26, 2014 - March 28, 2018
TRUIST INVESTMENT SERVICES, INC.
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
Exams
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
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.
