Ellen B. Jerome
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.
Ellen Bryson Jerome, who also goes by Emma Ellen Bryson Jerome, Emma Ellen Jerome, Ellen Bryson Sasser, Emma Bryson Sasser, was a registered financial professional .
Ellen is a previously registered financial professional and started their career in finance in 1998. Ellen had worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2016 - September 6, 2017
TRUIST ADVISORY SERVICES, INC.
June 16, 2010 - September 6, 2017
TRUIST INVESTMENT SERVICES, INC.
June 9, 2010 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
February 21, 2006 - December 16, 2008
CITIGROUP GLOBAL MARKETS INC.
February 21, 2006 - December 16, 2008
CITIGROUP GLOBAL MARKETS INC.
October 14, 2005 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
July 30, 1998 - February 21, 2006
LEGG MASON WOOD WALKER, INCORPORATED
Primary Firm SEC Registration
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 1/5/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390 / SEC#: 801-107729
Contact information
SEC notice filing (52 States and Territories)
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 | ||
| 03/28/2024 | ||
| 04/26/2023 |
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.
