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KZ

Kali L. Zeigler

TRUIST SECURITIES
CHARLOTTE, NC 28202
Some features on this profile are disabled
CRD#: 6701007
KZ

Professional summary

Kali Lachelle Zeigler, CFP® is a registered financial professional currently at TRUIST SECURITIES, INC. located in Charlotte, North Carolina.

Kali is registered as a RR (Registered Representative) and started their career in finance in 2016. Kali has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

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 Kali Lachelle Zeigler'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®
CFP®

Certified Financial Planner

Experience

Current

November 16, 2021 - Present

TRUIST SECURITIES, INC.

Office #1: 214 N Tryon St Fl 14 15, 19, Charlotte, NC, 28202
BD
CRD#: 6271
CHARLOTTE, NC
Past

October 11, 2018 - November 15, 2021

VANGUARD ADVISERS, INC.

RIA
CRD#: 106715
CHARLOTTE, NC
Past

October 3, 2016 - November 15, 2021

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
CHARLOTTE, NC

State Registrations and Notice Filings

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

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
North Carolina
(11/16/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/5/2018
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/14/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/3/2016
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

TS
TRUIST SECURITIES, INC.
ALEXANDER KEY INVESTMENTS | TRUIST SECURITIES, INC. | SUNTRUST ROBINSON HUMPHREY, INC. | SUNTRUST ROBINSON HUMPHREY | SUNTRUST EQUITABLE SECURITIES CORPORATION | SUNTRUST EQUITABLE SECURITIES | SUNTRUST CAPITAL MARKETS, INC. | SUNTRUST CAPITAL MANAGEMENT, INC. | EQUITABLE SECURITIES CORPORATION

CRD#: 6271 / SEC#: , 8-17212

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

Main Address
740 Battery Ave, Atlanta, GA 30339
Mailing Address
740 Battery Ave, Atlanta, GA 30339
Phone number
(404) 926-5600
Established
Tennessee since 07/01/1972
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
TRUIST FINANCIAL CORPORATIONPARENT COMPANY
COLEMAN, SHELLEY BRENNANAML OFFICER3163295
FARRELL, KATHLEEN ANNEBOARD MEMBER4038178
HACKETT, THOMAS PATRICKCHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER2878035
HUFFSTETLER, MARKBOARD MEMBER AND CHIEF CREDIT OFFICER2830214
HUMPHREYS, ADAMSECRETARY AND CHIEF LEGAL OFFICER7866934
JESSANI, KERRYBOARD MEMBER5048754
MILLIGAN, JOHNPRINCIPAL OPERATIONS OFFICER3206391
MORRIS, DONALD ROSS JRCHIEF FINANCIAL OFFICER3231801
PAPPAS, ALBERT GEORGECHIEF COMPLIANCE OFFICER1875535

Disclosures

Regulatory Event22
Arbitration1

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 SECURITIES, INC.

CRD#: 6271Charlotte, NC 28202

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