James Daniel Ault
Professional Summary
James Daniel Ault is a registered financial advisor currently at TRUSTMONT ADVISORY GROUP, INC. located in Beaver Falls, Pennsylvania and TRUSTMONT FINANCIAL GROUP, INC. located in Beaver Falls, Pennsylvania. James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. James has worked at 7 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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Years of Experience
40 years in the financial services industry
Current & Past Employments
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Current Firm
APPELMAN FINANCIAL | TRUSTMONT FINANCIAL GROUP, INC. | TRUSTMONT ADVISORY GROUP, INC. | TRUSTMARK ADVISORY GROUP, INC. | PWR PLANNERS | PRAXIS CAPITAL | HORIZON FINANCIAL ADVISORS | HELMICK & COMPANY WEALTH ADVISORS, LLC | CHAPEL HILL CAPITAL MANAGEMENT INC
Contact Information
Main Address
Scenic Drive Professional Center 200 Brush Run Road, Suite A, Greensburg, PA 15601Phone Number
(724) 468-5665# of Employees
61SEC notice filing (27 States and Territories)
Registered to provide investment advisory services in 27 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
6,348AUM (Assets Under Management)
$1,395,307,006Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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JANNEY MONTGOMERY SCOTT LLC
Primary Firm SEC Registration
APPELMAN FINANCIAL | TRUSTMONT FINANCIAL GROUP, INC. | TRUSTMONT ADVISORY GROUP, INC. | TRUSTMARK ADVISORY GROUP, INC. | PWR PLANNERS | PRAXIS CAPITAL | HORIZON FINANCIAL ADVISORS | HELMICK & COMPANY WEALTH ADVISORS, LLC | CHAPEL HILL CAPITAL MANAGEMENT INC
State Registrations and Notice Filings
(5/17/2010)
(8/19/2009)
(5/17/2010)
(8/19/2009)
(8/19/2009)
(3/18/2016)
(4/1/2011)
(9/15/2011)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Dec 1985About the Series 6 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Aug 1988About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view James Daniel Ault's CRS (Customer Relationship Summary).
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JANNEY MONTGOMERY SCOTT LLC
