Kathryn Giles is a registered investment advisor, based in New Bern, NC, with 9 years of industry experience.
Location
375 S Front St, New Bern, NC, 28560
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Regulatory History
Clean regulatory record
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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Kathryn is the Secretary on the Board of Directors for CarolinaEast Foundation, the local hospital's foundation. This activity requires minimal time and is not investment-related.
Employment History
Current Registrations
Truist Advisory Services, INC.
February 2021 - Present · 5 yrs 7 mos
Truist Investment Services, INC.Broker
February 2021 - Present · 5 yrs 7 mos
Previous Registrations
Bb&t Securities, LLC
January 2018 - February 2021 · 3 yrs 1 mo
Bb&t Securities, LLCBroker
January 2018 - February 2021 · 3 yrs 1 mo
Bb&t Investment Services, INC.
January 2017 - January 2018 · 1 yr
Bb&t Investment Services, INC.Broker
November 2016 - January 2018 · 1 yr 2 mos
State Registrations4 states
FLNCSCVA
AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.