Sarah Rock is a registered investment advisor at Truist Advisory Services, INC., based in Roanoke, VA, with 20 years of industry experience. Sarah operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 124,359 clients with $68B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Truist Advisory Services (TAS) offers investment consulting services where fees are negotiable and can be a fixed dollar amount or a percentage of the client's assets. The fee is billed quarterly in arrears.
The AMC Advantage program charges an asset-based fee that includes client-related services, custodial, execution, and reporting services. This fee does not include portfolio management fees charged separately by the investment managers selected by the client. The Program Fees are negotiable and may differ from Client to Client. The Program Fee is billed quarterly in advance.
Location
10 Franklin Road Se, Roanoke, VA, 24011
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Sarah is the Employer of Record for her daughter's Medicaid waiver benefit through the Virginia Department of Medical Assistance Services (DMAS). She approves caregiver hours weekly through a Medicaid portal and receives no compensation, dedicating minimal time to this activity.
Employment History
Current Registrations
Truist Investment Services, INC.Broker
Truist Advisory Services, INC.
Truist Investment Services, INC.
Previous Registrations
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
First Union Brokerage Services, INC.Broker
Ferguson, Andrews & Associates, INC.Broker
Dominion Investment Banking, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations53 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.