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Kathryn Thomas Giles
Kathryn Thomas Floyd, Kathryn T Giles, Katie Giles, Kathryn Fitzgerald Thomas
CRD#: 6716068
IA
B
TRUIST ADVISORY SERVICES, INC.CRD#: 283390 375 S FRONT ST
NEW BERN, NC 28560-2133
NEW BERN, NC 28560-2133
TRUIST INVESTMENT SERVICES, INC.CRD#: 17499 375 S FRONT ST
NEW BERN, NC 28560
NEW BERN, NC 28560
0
Disclosures
8
Years of Experience
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State Registrations
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Florida 2/17/2021
B
South Carolina 2/17/2021
B
North Carolina 2/17/2021
B
Virginia 2/17/2021
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North Carolina 2/17/2021
SRO Registrations
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IA
Registered with this firm since 2/17/2021
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Registered with this firm since 2/17/2021
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/02/2018 - 02/17/2021 | RICHMOND, VA | |
B | 01/02/2018 - 02/17/2021 | RICHMOND, VA | |
IA | 01/12/2017 - 01/02/2018 | NEW BERN, NC | |
B | 11/23/2016 - 01/02/2018 | NEW BERN, NC |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.