Richard W. Gruber
Professional summary
Richard William Gruber, who also goes by Richard W. Gruber, Richard Gruber, Ricky Gruber, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Lakeland, Florida and TRUIST INVESTMENT SERVICES, INC. located in Lakeland, Florida.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Richard has worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard William Gruber's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 8, 2020 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 4828 S Florida Ave, Lakeland, FL 33813June 8, 2020 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 4420 Us Highway 98 N, Lakeland, FL 33809Office #2: 3660 Havendale Blvd Nw, Winter Haven, FL 33881Office #3: 595 Cypress Gardens Blvd Ste 101, Winter Haven, FL 33880Office #4: 4828 S Florida Ave, Lakeland, FL 33813November 20, 2018 - February 10, 2020
MORGAN STANLEY
October 25, 2018 - February 10, 2020
MORGAN STANLEY
August 29, 2017 - August 27, 2018
VANGUARD MARKETING CORPORATION
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
(6/8/2020)
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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
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.
