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Detailed Report
EVAN JAMES FARRELL
CRD#: 1857570
IA
Investment Adviser
B
Broker
TRUIST ADVISORY SERVICES, INC.CRD#: 283390 5350 TOWN CENTER RD
STE 200
BOCA RATON, FL 33496
TRUIST INVESTMENT SERVICES, INC.CRD#: 17499 5350 TOWN CENTER RD
STE 200
BOCA RATON, FL 33486
Registration History
199019952000200520102015202020253 FIRMS1988 - 1989 (<1 year)2 FIRMS2000 - 2006 (5 years)2 FIRMS2006 - 2009 (2 years)2 FIRMS2009 - 2015 (5 years)IATRUIST ADVISORY SERVICES, INC. (CRD# 283390)2016 - Present (8 years)BTRUIST INVESTMENT SERVICES, INC. (CRD# 17499)2015 - Present (10 years)BFIRST UNION BROKERAGE SERVICES... (CRD# 8112)2000 - 2000 (<1 year)BPAINEWEBBER INCORPORATED (CRD# 8174)1995 - 2000 (5 years)BKIDDER, PEABODY & CO. INCORPORATED (CRD# 7613)1994 - 1995 (<1 year)BPAINEWEBBER INCORPORATED (CRD# 8174)1990 - 1994 (3 years)BF.D. ROBERTS SECURITIES, INC. (CRD# 693)1989 - 1989 (<1 year)IASUNTRUST INVESTMENT SERVICES, INC. (CRD# 17499)2015 - 2016 (1 year)
Disclosure(s)
View By:
4/4/2006
Customer Dispute
Denied
11/7/2002
Customer Dispute
Award / Judgment
License(s)

State Registrations

B
California 1/16/2015
B
Maryland 2/2/2015
B
Colorado 5/21/2021
B
Massachusetts 1/20/2015
B
Connecticut 4/19/2023
B
Michigan 6/21/2022
B
District of Columbia 3/2/2023
B
New Jersey 1/21/2015
B
Florida 1/20/2015
B
New York 1/22/2015
IA
Florida 9/1/2016
B
North Carolina 1/23/2015
B
Georgia 1/26/2015
B
Ohio 1/21/2015
B
Illinois 1/20/2015
B
Pennsylvania 1/21/2015
B
Indiana 10/25/2022
B
Texas 1/16/2015
B
Iowa 1/21/2015
IA
Texas 3/13/2017
B
Kentucky 1/23/2015
B
Virginia 2/18/2020

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
TRUIST ADVISORY SERVICES, INC. (CRD#:283390)
5350 TOWN CENTER RD STE 200, BOCA RATON, FL 33496
Registered with this firm since 9/1/2016
B
TRUIST INVESTMENT SERVICES, INC. (CRD#:17499)
5350 TOWN CENTER RD STE 200, BOCA RATON, FL 33486
BOCA RATON, FL
Registered with this firm since 1/16/2015
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 01/20/2015 - 12/31/2016 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) BOCA RATON, FL
IA
 03/16/2009 - 01/20/2015 OPPENHEIMER & CO. INC. (CRD#:249) BOCA RATON, FL
B
 03/10/2009 - 01/20/2015 OPPENHEIMER & CO. INC. (CRD#:249) BOCA RATON, FL
IA
 08/21/2006 - 03/11/2009 STANFORD GROUP COMPANY (CRD#:39285) BOCA RATON, FL
B
 08/18/2006 - 03/11/2009 STANFORD GROUP COMPANY (CRD#:39285) BOCA RATON, FL
IA
 10/01/2000 - 08/22/2006 WACHOVIA SECURITIES, LLC (CRD#:19616) BOCA RATON, FL
B
 10/01/2000 - 08/22/2006 WACHOVIA SECURITIES, LLC (CRD#:19616) BOCA RATON, FL
B
 03/29/2000 - 10/01/2000 FIRST UNION BROKERAGE SERVICES, INC. (CRD#:8112) CHARLOTTE, NC
B
 01/28/1995 - 04/20/2000 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
 04/12/1994 - 01/28/1995 KIDDER, PEABODY & CO. INCORPORATED (CRD#:7613) NEW YORK, NY
B
 06/04/1990 - 04/08/1994 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
 02/02/1989 - 02/24/1989 F.D. ROBERTS SECURITIES, INC. (CRD#:693)
B
 08/23/1988 - 02/24/1989 F.D. ROBERTS SECURITIES, INC. (CRD#:693) PARAMUS, NJ
B
 12/16/1988 - 02/09/1989 MARSHALL DAVIS, INC. (CRD#:16278)
FINRA expelled the firm on 05/30/1991
B
 10/14/1988 - 01/03/1989 R A F FINANCIAL CORPORATION (CRD#:1398)
For additional information about investment advisers or broker-dealers, please visit
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.