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Sonia Ortega-knight

TRUIST ADVISORY SERVICES
AUSTIN, TX 78759
Some features on this profile are disabled
CRD#: 6023441
SO

Professional summary

Sonia Ortega-knight, who also goes by Sonia Castro, Sonia Knight, Sonia Ortega, Sonia Ortega - Knight, is a registered financial advisor currently at TRUIST ADVISORY SERVICES, INC. located in Austin, Texas and TRUIST INVESTMENT SERVICES, INC. located in Austin, Texas.

Sonia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Sonia has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Sonia Castro | Sonia Knight | Sonia Ortega | Sonia Ortega - Knight

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.
TBD, LLC; NOT INV RELATED; LEANDER, TX; 100% OWNERSHIP; 03/2025; 20 HOURS PER MONTH; 0 DURING TRADING; DIGITAL MARKETING SALES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sonia Ortega-knight's CRS (Customer Relationship Summary).
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

June 9, 2025 - Present

TRUIST ADVISORY SERVICES, INC.

Office #1: 7800 N Mopac Expy, Austin, TX 78759
RIA
CRD#: 283390
AUSTIN, TX
Current

June 9, 2025 - Present

TRUIST INVESTMENT SERVICES, INC.

Office #1: 7800 N Mopac Expy, Austin, TX 78759
BD
CRD#: 17499
AUSTIN, TX
Past

November 19, 2013 - June 5, 2025

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
AUSTIN, TX
Past

November 19, 2013 - June 5, 2025

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
AUSTIN, TX
Past

May 16, 2013 - June 18, 2013

BBVA SECURITIES INC.

BD
CRD#: 27060
AUSTIN, TX
Past

October 16, 2012 - May 16, 2013

BBVA COMPASS INVESTMENT SOLUTIONS, INC

BD
CRD#: 17086
AUSTIN, TX
Past

June 14, 2012 - August 28, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
AUSTIN, TX
Past

March 5, 2012 - August 28, 2012

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
AUSTIN, TX

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".
TA
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.

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

RR
Texas
(6/9/2025)
IAR
Texas
(6/9/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 6/5/2012
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/13/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/10/2016
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/2/2012
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TA
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts124,363
AUM (Assets Under Management)$ 67,736,740,585

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

TRUIST ADVISORY SERVICES, INC.

CRD#: 283390Austin, TX 78759

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