Ellen Smith
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 Smith, who also goes by Ellen Marie Rewolinski, Ellen Marie Smith, Ellen Marie R Smith, was a registered financial professional .
Ellen is a previously registered financial professional and started their career in finance in 2013. Ellen had worked at 5 firms and has passed the Series 66, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 9, 2023 - October 17, 2025
TRUIST ADVISORY SERVICES, INC.
September 27, 2023 - October 17, 2025
TRUIST INVESTMENT SERVICES, INC.
November 21, 2017 - July 16, 2019
WELLS FARGO CLEARING SERVICES, LLC
November 21, 2017 - July 16, 2019
WELLS FARGO CLEARING SERVICES, LLC
February 2, 2015 - October 25, 2017
MML INVESTORS SERVICES, LLC
January 22, 2015 - October 25, 2017
MML INVESTORS SERVICES, LLC
October 29, 2013 - September 19, 2014
NEW ENGLAND SECURITIES
August 23, 2013 - September 19, 2014
NEW ENGLAND SECURITIES
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 7TO
Date: 9/20/2023
General Securities Representative ExaminationCurrent 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.
