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Detailed Report
KENNETH GEORGE RASE
CRD#: 4310986
IA
Investment Adviser
B
Broker
TRUIST ADVISORY SERVICES, INC.CRD#: 283390 360 CENTRAL AVE
STE 1700
ST. PETERSBURG, FL 33701
TRUIST INVESTMENT SERVICES, INC.CRD#: 17499 360 CENTRAL AVE
SAINT PETERSBURG, FL 33701
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2001 - 2001 (<1 year)2 FIRMS2014 - 2016 (2 years)2 FIRMS2016 - Present (8 years)BCUNA BROKERAGE SERVICES, INC. (CRD# 13941)2001 - 2014 (12 years)BSIMMERS CAPITAL MANAGEMENT COR... (CRD# 29960)2000 - 2001 (<1 year)IASUNTRUST INVESTMENT SERVICES, INC. (CRD# 17499)2016 - 2016 (<1 year)IACUNA BROKERAGE SERVICES, INC. (CRD# 13941)2003 - 2014 (10 years)
Disclosure(s)
View By:
4/23/2009
Customer Dispute
Denied
12/15/2008
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 2/22/2016
B
Montana 2/22/2016
B
Arizona 8/13/2018
B
Nebraska 9/18/2018
B
California 5/15/2024
B
Nevada 9/18/2018
B
Colorado 6/22/2016
B
New Hampshire 10/28/2021
B
Connecticut 1/3/2017
B
New Jersey 1/3/2017
B
Delaware 1/24/2017
B
New Mexico 10/30/2018
B
District of Columbia 11/30/2023
B
New York 2/22/2016
B
Florida 2/22/2016
B
North Carolina 2/24/2016
IA
Florida 8/17/2016
B
Ohio 1/3/2017
B
Georgia 2/22/2016
B
Pennsylvania 5/26/2017
B
Hawaii 5/5/2022
B
Rhode Island 1/3/2017
B
Idaho 6/18/2024
IA
Rhode Island 4/12/2017
B
Illinois 6/3/2016
B
South Carolina 6/13/2016
B
Indiana 5/26/2017
B
Tennessee 3/23/2016
B
Iowa 1/3/2017
IA
Texas 6/14/2017
B
Kansas 5/26/2017
B
Texas 6/18/2024
B
Maryland 5/26/2017
B
Vermont 3/23/2016
B
Massachusetts 1/3/2017
B
Virginia 2/22/2016
B
Michigan 5/26/2017
B
Washington 5/26/2017
B
Minnesota 10/11/2023
B
West Virginia 5/26/2017
B
Mississippi 6/18/2024
B
Wisconsin 6/9/2022
B
Missouri 6/20/2016

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)
360 CENTRAL AVE STE 1700, ST. PETERSBURG, FL 33701
Registered with this firm since 8/17/2016
B
TRUIST INVESTMENT SERVICES, INC. (CRD#:17499)
360 CENTRAL AVE, SAINT PETERSBURG, FL 33701
TAMPA, FL
Registered with this firm since 2/22/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 02/25/2016 - 12/31/2016 SUNTRUST INVESTMENT SERVICES, INC. (CRD#:17499) SAINT PETERSBURG, FL
IA
 02/10/2014 - 02/19/2016 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) TAMPA, FL
B
 02/04/2014 - 02/19/2016 CETERA INVESTMENT SERVICES LLC (CRD#:15340) ST PETERSBURG, FL
IA
 06/18/2003 - 02/06/2014 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) SARASOTA, FL
B
 09/10/2001 - 02/06/2014 CUNA BROKERAGE SERVICES, INC. (CRD#:13941) SARASOTA, FL
B
 06/08/2001 - 07/12/2001 MONY SECURITIES CORPORATION (CRD#:4386) NEW YORK, NY
B
 04/24/2001 - 06/05/2001 GUNNALLEN FINANCIAL, INC (CRD#:17609) TAMPA, FL
B
 12/04/2000 - 05/09/2001 SIMMERS CAPITAL MANAGEMENT CORPORATION (CRD#:29960) PHOENIX, AZ
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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.