Erin W. Nelson

ASCENSUS INVESTMENT ADVISORS

LEESBURG, VA

Some features on this profile are disabled

CRD#: 3258493

Professional summary

Erin Walters Nelson, who also goes by Erin E Walters, Erin E. Walters, is a registered financial advisor currently at ASCENSUS INVESTMENT ADVISORS, LLC located in Leesburg, Virginia and ASCENSUS BROKER DEALER SERVICES, LLC located in Lake Mary, Florida.

Erin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Erin has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Erin E Walters | Erin E. Walters

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.

1. Nu Skin Brand Affiliate as of October 5, 2021, Corporate Office: 75 West Center, Provo, UT 84601, not investment-related, commission on product sales, 20 hours per month/0 hours during securities trading hours

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erin Walters Nelson's CRS (Customer Relationship Summary).

Certified licenses

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

None

Experience

Current

July 17, 2024 - Present

ASCENSUS INVESTMENT ADVISORS, LLC

RIA

CRD#: 120632

LEESBURG, VA

Current

August 31, 2023 - Present

ASCENSUS BROKER DEALER SERVICES, LLC

Office #1: 300 Primera Blvd. Suite 200, Lake Mary, FL 32746

CRD#: 36478

Lake Mary, FL

Past

January 8, 2018 - July 22, 2024

NEWPORT GROUP CONSULTING, LLC

RIA

CRD#: 140944

LEESBURG, VA

Past

May 19, 2011 - December 22, 2017

NEWPORT GROUP SECURITIES, INC.

RIA

CRD#: 29722

Highland Village, TX

Past

April 19, 2011 - August 31, 2023

NEWPORT GROUP SECURITIES, INC.

CRD#: 29722

Dallas, TX

Past

August 20, 2007 - April 4, 2011

CLARK SECURITIES, INC.

CRD#: 43803

GREENSBORO, NC

Past

September 11, 2003 - September 9, 2005

CLARK SECURITIES, INC.

CRD#: 43803

GREENSBORO, NC

Past

May 17, 2002 - June 11, 2003

E*TRADE ADVISORY SERVICES, INC.

RIA

CRD#: 111178

EULESS, TX

Past

December 17, 2001 - June 11, 2003

E*TRADE SECURITIES LLC

CRD#: 29106

JERSEY CITY, NJ

Past

May 30, 2001 - December 11, 2001

WADDELL & REED

CRD#: 866

OVERLAND PARK, KS

Past

July 29, 1999 - April 6, 2001

J.P. SECURITIES, INC.

CRD#: 36559

BELLEVUE, NE

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".

ASCENSUS INVESTMENT ADVISORS, LLC

ASCENSUS INVESTMENT ADVISORS, LLC | UPROMISE INVESTMENT ADVISORS, LLC

CRD#: 120632 / SEC#: 801-61492

RIA

Registered Investment Advisory firm - (9/27/2002 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

IAR

Massachusetts
(7/17/2024)

Virginia
(7/10/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/30/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/30/1999

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: 7/28/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/15/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

ASCENSUS INVESTMENT ADVISORS, LLC

ASCENSUS INVESTMENT ADVISORS, LLC | UPROMISE INVESTMENT ADVISORS, LLC

CRD#: 120632 / SEC#: 801-61492

RIA

Registered Investment Advisory firm - (9/27/2002 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

95 Wells Avenue Suite 160, Newton, MA 02459

Mailing Address

Phone number

(617) 454-6400

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (48 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2 (10/20/2025)

Regulatory assets under management

Total Number of Accounts	43
AUM (Assets Under Management)	$ 11,649,896,048

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/29/2024	Cover Page	Report
01/30/2024	Cover Page	Report
01/26/2023	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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Erin W. Nelson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Erin Walters Nelson's CRS (Customer Relationship Summary).

Certified licenses

Experience

ASCENSUS BROKER DEALER SERVICES, LLC

NEWPORT GROUP CONSULTING, LLC

NEWPORT GROUP SECURITIES, INC.

NEWPORT GROUP SECURITIES, INC.

CLARK SECURITIES, INC.

CLARK SECURITIES, INC.

E*TRADE ADVISORY SERVICES, INC.

E*TRADE SECURITIES LLC

WADDELL & REED

J.P. SECURITIES, INC.

Primary Firm SEC Registration

ASCENSUS INVESTMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/30/2002

Series 63

Date: 7/30/1999

SIE

Date: 10/1/2018

Series 7

Date: 7/28/1999

Series 24

Date: 3/15/2002

FINRA

Current Firm

ASCENSUS INVESTMENT ADVISORS, LLC

Contact information

SEC notice filing (48 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

ASCENSUS INVESTMENT ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors