BN
Bernard E. Nugent
TRUST ADVISORY GROUP LTD
SOUTH YARMOUTH, MA 02664
Some features on this profile are disabled
CRD#: 1209387
BN
Professional summary
Bernard Edward Nugent JR, who also goes by Bernard E Nugent Jr, Bernie Nugent, is a registered financial advisor currently at TRUST ADVISORY GROUP LTD located in South Yarmouth, Massachusetts and STONEX SECURITIES INC. located in South Yarmouth, Massachusetts.
Bernard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Bernard has worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Bernard E Nugent Jr | Bernie Nugent
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) Investment Securities Group - 23-O2 Whites Path, South Yarmouth MA 02664 Nature of Business: Investment of Securities and Insurance produce on behalf of clients Investment Related: Yes Business Position: I am the sole owner. President Business Duties: Manage the office to provide a location for my primary business as a StoneX Advisor Business Start Date: 09/15/2009 Approximately 4 hours spent on this OBA monthly.
CRS (Client Relationship Summary) - RIA
Click below to view Bernard Edward Nugent JR'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®
NoneExperience
Current
March 31, 2010 - Present
TRUST ADVISORY GROUP LTD
Office #1: 23 O2 White's Path Ste 01, South Yarmouth, MA 02664RIA
CRD#: 106926
SOUTH YARMOUTH, MA
Current
October 24, 2024 - Present
STONEX SECURITIES INC.
Office #1: 23 02 White's Path Suite 1, South Yarmouth, MA 02664BD
CRD#: 18456
South Yarmouth, MA
Past
February 18, 2010 - September 24, 2024
AGES FINANCIAL SERVICES, LTD.
BD
CRD#: 15427
SOUTH YARMOUTH, MA
Past
June 6, 2005 - February 24, 2010
BOLTON SECURITIES CORPORATION
RIA
CRD#: 129376
YARMOUTH PORT, MA
Past
May 29, 2003 - February 24, 2010
BOLTON GLOBAL CAPITAL
BD
CRD#: 15650
YARMOUTH PORT, MA
Past
November 13, 1997 - June 3, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
ST. PETERSBURG, FL
Past
September 17, 1992 - November 18, 1997
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
June 3, 1988 - September 18, 1992
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
March 19, 1986 - July 8, 1988
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Past
July 20, 1984 - January 22, 1986
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
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
TRUST ADVISORY GROUP LTD
ADVANTAGE WEALTH SOLUTIONS | TRUST ADVISORY GROUP LTD | STONEX WEALTH MANAGEMENT | STARR INVESTMENT SERVICES INC. | SOLARES HILL ADVISORS | RHK CAPITAL | RETIREMENT INCOME ADVISORS | PRIMARY WEALTH CARE PROVIDERS, LLC | PARAMOUNT FINANCIAL GROUP | ORION WEALTH ADVISORS | NEW ENGLAND TRUST SERVICES | MORRISTOWN CAPITAL ASSOCIATES LLC | MDS FINANCIAL | LIFE PATH FINANCIAL SERVICES | INVESTMENT SECURITIES GROUP | GIPSON-FITZPATRICK INVESTMENT MANGEMENT | CREATIVE WEALTH ADVISORS | COROMANDEL WEALTH MANAGEMENT | CINDRICH FINANCIAL SERVICES
CRD#: 106926 / SEC#: 801-46919
RIA
Registered Investment Advisory firm - (7/25/1994 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
Connecticut(10/25/2024)
RR
Florida(2/3/2025)
RR
Maine(2/5/2025)
IAR
Massachusetts(3/31/2010)
RR
Massachusetts(2/4/2025)
RR
Michigan(2/24/2025)
RR
New Hampshire(2/11/2025)
IAR
New York(10/13/2023)
RR
New York(2/11/2025)
RR
North Carolina(2/20/2025)
RR
South Carolina(2/10/2025)
RR
Texas(10/24/2024)
RR
Vermont(10/24/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TA
TRUST ADVISORY GROUP LTD
ADVANTAGE WEALTH SOLUTIONS | TRUST ADVISORY GROUP LTD | STONEX WEALTH MANAGEMENT | STARR INVESTMENT SERVICES INC. | SOLARES HILL ADVISORS | RHK CAPITAL | RETIREMENT INCOME ADVISORS | PRIMARY WEALTH CARE PROVIDERS, LLC | PARAMOUNT FINANCIAL GROUP | ORION WEALTH ADVISORS | NEW ENGLAND TRUST SERVICES | MORRISTOWN CAPITAL ASSOCIATES LLC | MDS FINANCIAL | LIFE PATH FINANCIAL SERVICES | INVESTMENT SECURITIES GROUP | GIPSON-FITZPATRICK INVESTMENT MANGEMENT | CREATIVE WEALTH ADVISORS | COROMANDEL WEALTH MANAGEMENT | CINDRICH FINANCIAL SERVICES
CRD#: 106926 / SEC#: 801-46919
RIA
Registered Investment Advisory firm - (7/25/1994 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
2 Perimeter Park South Suite 500 West, Birmingham, AL 35243
Mailing Address
Phone number
(800) 292-2411
Established
Firm type
Fiscal year end
# of Employees
30
SEC notice filing (34 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,720 |
| AUM (Assets Under Management) | $ 494,407,359 |
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
TRUST ADVISORY GROUP LTD
CRD#: 106926South Yarmouth, MA 02664TRUST BUT VERIFY
Monitor Bernard Nugent
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
