Malcolm Rose

Some features on this profile are disabled

CRD#: 6973875

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.

Malcolm Rose Jr, who also goes by Malcolm Rose, was a registered financial professional .

Malcolm is a previously registered financial professional and started their career in finance in 2018. Malcolm had worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Malcolm Rose

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.

AUTHOR POSITION: n/a NATURE: Wrote book of poetry INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 11/30/2020 ADDRESS: Atkins Ridge Dr, Charlotte NC 28213, United States DESCRIPTION: I may sign books or perform selections from the book at events if asked. HEALTH, WEALTH, AND HIP-HOP BLOG POSITION: Blogger NATURE: I write a blog that focuses on the lyrics of hip-hop songs and how they can be repurposed into lessons about mental fitness, physical fitness, and financial fitness. The blog is an alternative perspective on the art of hip-hop lyrics and how they are perceived. I quote lyrics from popular and not so popular artists and songs, then give a different take on what they were talking about. In regard to the financial fitness aspect of the blog, there aren't any recommendations being made or any advice being given. It's more financial literacy and a way to speak about the importance of mental, physical, and financial fitness while incorporating hip-hop as a means of speaking a language that may resonate. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 12/18/2016 ADDRESS: Charlotte NC, United States DESCRIPTION: I listen to hip-hop songs and then I write a blog that repurposes those lyrics into basic, foundational, financial literacy. In addition to speaking on the importance of mental and physical wellness.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 25, 2023 - November 7, 2025

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

CHARLOTTE, NC

Past

January 17, 2023 - November 7, 2025

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

CHARLOTTE, NC

Past

December 4, 2018 - January 23, 2023

PRUCO SECURITIES, LLC.

CRD#: 5685

CHARLOTTE, NC

Past

September 14, 2018 - December 19, 2018

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

CHARLOTTE, NC

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".

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/15/2023

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/14/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/13/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/14/2018

Investment Company Products/Variable Contracts Representative Examination

Current Firm

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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TAS AMC WRAP MANAGED PROGRAMS BROCHURE (10/31/2025)

TAS CONSULTING SERVICES AMC ADVANTAGE FIRM BROCHURE (3/28/2025)

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	Cover Page	Report
03/28/2024	Cover Page	Report
04/26/2023	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Malcolm Rose

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRUIST INVESTMENT SERVICES, INC.

PRUCO SECURITIES, LLC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

Primary Firm SEC Registration

TRUIST ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 4/15/2023

Series 63

Date: 9/14/2018

Series 7TO

Date: 2/13/2023

SIE

Date: 10/1/2018

Series 6

Date: 9/14/2018

Current Firm

TRUIST ADVISORY SERVICES, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TRUIST ADVISORY SERVICES, INC.

TRUST BUT VERIFY

Similar Advisors