Steven C. Hall
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.
Steven Charles Hall was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1978. Steven had worked at 10 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2016 - September 1, 2016
TRUIST ADVISORY SERVICES, INC.
October 4, 2004 - May 20, 2008
STEVEN C. HALL, LLC
April 8, 2004 - February 19, 2008
OMNIVEST, INC.
January 1, 1999 - March 31, 2004
OSAIC WEALTH, INC.
January 1, 1999 - November 17, 2004
HALL & GOLDBERG INVESTMENT ADVISORS, INC.
February 9, 1993 - March 31, 2004
OSAIC WEALTH, INC.
September 4, 1990 - January 28, 1993
WELLS FARGO CLEARING SERVICES, LLC
January 25, 1990 - September 4, 1990
BOETTCHER & COMPANY, INC.
December 15, 1988 - February 5, 1990
HANIFEN, IMHOFF SECURITIES CORP.
September 28, 1983 - January 17, 1989
PRUDENTIAL EQUITY GROUP, LLC
November 27, 1978 - October 13, 1983
E. F. HUTTON & COMPANY 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.
