Elaine S. Nelson

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CRD#: 1212349

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Elaine S Nelson, CFP®, who also goes by Elaine A Nelson, Elaine Avis Nelson, Elaine Stepnowsky Nelson, Elaine Avis Stepnowsky, was a registered financial professional .

Elaine is a previously registered financial professional and started their career in finance in 1983. Elaine had worked at 11 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Elaine A Nelson | Elaine Avis Nelson | Elaine Stepnowsky Nelson | Elaine Avis Stepnowsky

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

COFFEEHOUSE OF ROCKBRIDGE INC: START APPROX JULY 2015, NOT INVESTMENT RELATED, NOT PUBLICLY TRADED, 235 S SUGAR CREEK RD LEXINGTON VA 24450, NON-PROFIT DESIGNED TO PROVIDE SUPPORT, UNDERSTANDING, FELLOWSHIP, AND LEISURE ACTIVITIES FOR PEOPLE WITH DEVELOPMENTAL DISABILITIES, BOARD MEMBER, LESS THAN 1 HR PER MONTH DURING NORMAL BUSINESS HRS, NO COMPENSATION. LEXINGTON SUNRISE ROTARY CLUB: NOT INVESTMENT RELATED, NOT PUBLICLY TRADED, LEXINGTON VA 24550, SERVICE CLUB, MEMBER, NO COMP. LEXINGTON ROCKBRIDGE CHAMBER OF COMMERCE: NOT INVESTMENT RELATED, NOT PUBLICLY TRADED, 100 E WASHINGTON ST LEXINGTON VA 24450, BUSINESS NETWORKING, DUES PAYING MEMBER, NO COMPENSATION. MOUNTAIN GATEWAY COMMUNITY COLLEGE EDUCATIONAL FOUNDATION POSITION: Board Member NATURE: Mountain Gateway Community College Educational Foundation is the non-profit scholarship awarding entity affiliated with MGCC. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2022 ADDRESS: Clifton Forge, VA, United States DESCRIPTION: Review scholarship applications and make awards to students as per scholarship parameters.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

CRD#: 36179

KANNAPOLIS, NC

Past

August 2, 1993 - June 1, 1994

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

March 19, 1992 - February 4, 1997

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

Past

July 19, 1990 - March 19, 1992

COMPREHENSIVE FINANCIAL SERVICES, INC.

CRD#: 22710

Past

March 27, 1987 - July 24, 1990

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

Past

February 21, 1986 - April 10, 1987

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

November 22, 1983 - August 24, 1984

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TRUIST ADVISORY SERVICES, INC.

SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.

CRD#: 283390 / SEC#: 801-107729

RIA

Registered Investment Advisory firm - (5/18/2016 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 3/5/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/19/1983

General Securities Representative Examination

Current Firm

TRUIST ADVISORY SERVICES, INC.

SUNTRUST ADVISORY SERVICES LLC | TRUIST ADVISORY SERVICES, INC. | SUNTRUST ADVISORY SERVICES, INC.

CRD#: 283390 / SEC#: 801-107729

RIA

Registered Investment Advisory firm - (5/18/2016 Approved)

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Contact information

Main Address

303 Peachtree Street 2nd Floor, Atlanta, GA 30303

Mailing Address

Po Box 4418 Mc 107, Atlanta, GA 30302

Phone number

(800) 874-4770

Established

Firm type

Fiscal year end

# of Employees

2,469

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TAS AMC WRAP MANAGED PROGRAMS BROCHURE (10/31/2025)

TAS CONSULTING SERVICES AMC ADVANTAGE FIRM BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts	124,363
AUM (Assets Under Management)	$ 67,736,740,585

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
04/24/2025	Cover Page	Report
03/28/2024	Cover Page	Report
04/26/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Elaine S. Nelson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRUIST INVESTMENT SERVICES, INC.

BB&T SECURITIES, LLC

BB&T SECURITIES, LLC

SCOTT & STRINGFELLOW, LLC

SCOTT & STRINGFELLOW, LLC

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

JBS LIBERTY SECURITIES, INC.

JBS LIBERTY SECURITIES, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

SECURIAN FINANCIAL SERVICES, INC.

COMPREHENSIVE FINANCIAL SERVICES, INC.

SECURIAN FINANCIAL SERVICES, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

TRUIST ADVISORY SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/5/1986

SIE

Date: 10/1/2018

Series 7

Date: 11/19/1983

Current Firm

TRUIST ADVISORY SERVICES, INC.

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TRUIST ADVISORY SERVICES, INC.

TRUST BUT VERIFY

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