Thomas M. Dolan

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CRD#: 1267416

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.

Thomas Michael Dolan was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 16, 2017 - October 5, 2021

TRUST ADVISORY GROUP LTD

RIA

CRD#: 106926

Morristown, NJ

Past

February 16, 2017 - October 5, 2021

AGES FINANCIAL SERVICES, LTD.

CRD#: 15427

Morristown, NJ

Past

June 18, 2015 - July 24, 2017

SOURCE CAPITAL GROUP, INC.

RIA

CRD#: 36719

MADISON, NJ

Past

May 12, 2015 - June 4, 2015

SOURCE CAPITAL GROUP, INC.

RIA

CRD#: 36719

MADISON, NJ

Past

June 11, 2012 - April 24, 2017

SOURCE CAPITAL GROUP, INC.

CRD#: 36719

MORRISTOWN, NJ

Past

November 11, 2005 - June 26, 2012

GILFORD SECURITIES INCORPORATED

CRD#: 8076

MORRISTOWN, NJ

Past

March 9, 2002 - November 21, 2005

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

June 26, 1989 - March 9, 2002

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

May 22, 1984 - June 30, 1989

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

NEW YORK, NY

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".

TRUST ADVISORY GROUP LTD

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/3/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/24/1984

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: 5/19/1984

General Securities Representative Examination

Current Firm

TRUST ADVISORY GROUP LTD

CRD#: 106926 / SEC#: 801-46919

RIA

Registered Investment Advisory firm - (7/25/1994 Approved)

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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

SEC notice filing (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TAG ADV2A 072825 (7/29/2025)

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.

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Firm Stability Insights

Thomas M. Dolan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AGES FINANCIAL SERVICES, LTD.

SOURCE CAPITAL GROUP, INC.

SOURCE CAPITAL GROUP, INC.

SOURCE CAPITAL GROUP, INC.

GILFORD SECURITIES INCORPORATED

RBC CAPITAL MARKETS, LLC

TUCKER ANTHONY INCORPORATED

THOMSON MCKINNON SECURITIES INC.

Primary Firm SEC Registration

TRUST ADVISORY GROUP LTD

State Registrations and Notice Filings

Exams

Series 66

Date: 11/3/2014

Series 63

Date: 5/24/1984

SIE

Date: 10/1/2018

Series 7

Date: 5/19/1984

Current Firm

TRUST ADVISORY GROUP LTD

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRUST ADVISORY GROUP LTD

TRUST BUT VERIFY

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