CS
Charles F. Smith
TRUIST ADVISORY SERVICES
LAUREL, MD 20707
Some features on this profile are disabled
CRD#: 6657342
CS
Professional summary
Charles Frederick Smith, who also goes by Charlie Smith, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Laurel, Maryland and TRUIST INVESTMENT SERVICES, INC. located in Laurel, Maryland.
Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2016. Charles has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Charlie Smith
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.
APARTMENT RENTAL IN HOUSE POSITION: Owner NATURE: I recently built a new home. In the house is separate room that will apply for it to be a in home apartment. This room (initially than hopefully apartment will be rented to a third party) for $1200-$1400 monthly. I have potential tenants lined up for the middle of June. I will be paying for utilities. INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 06/03/2020 ADDRESS: Kensington MD, United States DESCRIPTION: Home ownership and apartment management. If something breaks in the apartment, I will need to fix it and maintain it. BOY SCOUTS OF AMERICA TROOP 68 POSITION: Board member troop 68 NATURE: BSA is non-profit organization that relies on Men and Women to help train scouts. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 12/18/2022 ADDRESS: Bethesda MA, United States DESCRIPTION: For the committee I will have no monetary responsibilities other than approving budgets. For Pop Corn Kernell, I will handle money but will turn that over to treasure and be monitored by the treasure. These positions are related because you have to be on the board to take this position. Troop 68 Committee Description: The Troop Committee (TC) approves the Troop calendar and budget in the spring and summer for the upcoming program year (9/1 through 8/31). The TC also recharters the Troop with Fourth and the BSA in November and presents an Annual Report to Session in fall. The TC functions as a support group for the Scoutmaster (SM) covering administrative tasks such as collecting Med Forms, Permission Forms, annual dues, and fundraising.
CRS (Client Relationship Summary) - RIA
Click below to view Charles Frederick Smith's 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®
NoneExperience
Current
July 6, 2017 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 14401 Sweitzer Ln Fl 4, Laurel, MD 20707RIA
CRD#: 283390
LAUREL, MD
Current
June 7, 2017 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 14401 Sweitzer Ln Fl 4, Laurel, MD 20707BD
CRD#: 17499
Laurel, MD
Past
August 24, 2016 - May 23, 2017
MORGAN STANLEY
RIA
CRD#: 149777
ROCKVILLE, MD
Past
July 27, 2016 - May 23, 2017
MORGAN STANLEY
BD
CRD#: 149777
ROCKVILLE, 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
RR
California(2/12/2019)
RR
Connecticut(3/3/2023)
RR
Delaware(2/12/2019)
RR
District of Columbia(2/12/2019)
RR
Florida(2/12/2019)
RR
Georgia(2/12/2019)
RR
Illinois(2/12/2019)
IAR
Maryland(7/6/2017)
RR
Maryland(2/12/2019)
RR
Massachusetts(2/12/2019)
RR
Michigan(2/12/2019)
RR
Mississippi(2/12/2019)
RR
Missouri(5/17/2022)
RR
New Hampshire(2/12/2019)
RR
New Jersey(2/12/2019)
RR
New York(2/12/2019)
RR
North Carolina(5/30/2018)
RR
Ohio(11/19/2018)
RR
Pennsylvania(2/12/2019)
RR
South Carolina(5/30/2018)
RR
Tennessee(3/3/2023)
RR
Texas(5/23/2022)
RR
Vermont(3/1/2023)
RR
Virginia(2/12/2019)
RR
West Virginia(6/7/2019)
RR
Wisconsin(3/3/2023)
RR
Wyoming(8/17/2020)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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)
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.
