Stephen A. Engelson
Professional summary
Stephen Adam Engelson, who also goes by Stephen Adam Engleson, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Raleigh, North Carolina and TRUIST INVESTMENT SERVICES, INC. located in Raleigh, North Carolina.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Stephen has worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 9, Series 10, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Adam Engelson's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 17, 2016 - Present
TRUIST ADVISORY SERVICES, INC.
Office #1: 8501 Brier Creek Pkwy, Raleigh, NC 27617October 6, 2010 - Present
TRUIST INVESTMENT SERVICES, INC.
Office #1: 8501 Brier Creek Pkwy, Raleigh, NC 27617Office #2: 1530 N Gregson St, Durham, NC 27701Office #3: 1855 Hillandale Rd, Durham, NC 27705October 6, 2010 - December 31, 2016
TRUIST INVESTMENT SERVICES, INC.
October 5, 2009 - October 6, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - October 6, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
June 25, 2003 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
October 17, 2002 - June 25, 2003
CHOREO, LLC
June 7, 1993 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
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
(4/14/2022)
(9/30/2016)
(10/6/2010)
(1/3/2022)
(10/6/2010)
(10/30/2015)
(9/28/2016)
(10/6/2010)
(10/6/2010)
(10/6/2010)
(9/28/2016)
(10/4/2017)
(2/22/2019)
(6/27/2024)
(7/11/2014)
(10/7/2010)
(8/17/2016)
(9/28/2016)
(10/6/2010)
(3/13/2017)
(10/2/2024)
(12/21/2018)
(1/6/2022)
(10/6/2010)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 8
Date: 2/25/1994
General Securities Sales Supervisor Examination (Options Module & General Module)FINRA
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.
Company Information
TRUIST ADVISORY SERVICES, INC.
CRD#: 283390Raleigh, NC 27617TRUST BUT VERIFY
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