James D. Ault

TRUSTMONT ADVISORY GROUP

BEAVER FALLS, PA 15010

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CRD#: 1439447

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.

Question & Answer

Are you a "fiduciary"?

Yes

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.

OWNER OF UNITED EQUITY. IT IS AN INSURANCE BUSINESS WHICH BEGAN 9/1/1991 AND IS LOCATED AT 110 BLACKHAWK RD., BEAVER FALLS, PA 15010. 40 HRS PER MONTH SELLING LIFE, HEALTH/ACCIDENT, DISABILITY INSURANCE AND FIXED ANNUITIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Daniel Ault'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

March 18, 2016 - Present

TRUSTMONT ADVISORY GROUP, INC.

Office #1: 110 Blackhawk Road, Beaver Falls, PA 15010

RIA

CRD#: 106015

BEAVER FALLS, PA

Current

August 19, 2009 - Present

TRUSTMONT FINANCIAL GROUP, INC.

Office #1: 110 Blackhawk Rd, Beaver Falls, PA 15010

CRD#: 18312

Beaver Falls, PA

Past

May 11, 2005 - August 18, 2009

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

BEAVER FALLS, PA

Past

January 3, 2005 - May 18, 2005

WFG INVESTMENTS, INC.

CRD#: 22704

DALLAS, TX

Past

July 15, 2004 - December 31, 2004

PRO-INTEGRITY SECURITIES, INC.

CRD#: 44707

LONGVIEW, TX

Past

September 7, 1991 - July 12, 2004

HACKETT ASSOCIATES, INC.

CRD#: 2106

WYOMISSING, PA

Past

December 12, 1985 - September 11, 1991

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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".

TRUSTMONT ADVISORY GROUP, INC.

CRD#: 106015 / SEC#: 801-30694

RIA

Registered Investment Advisory firm - (11/27/1987 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.

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

Florida
(5/17/2010)

Maryland
(8/19/2009)

New Jersey
(5/17/2010)

Ohio
(8/19/2009)

Pennsylvania
(8/19/2009)

IAR

Pennsylvania
(3/18/2016)

Virginia
(4/1/2011)

West Virginia
(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

State Security Law Exam

Series 63

Date: 12/19/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/11/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 8/16/1988

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

TRUSTMONT ADVISORY GROUP, INC.

CRD#: 106015 / SEC#: 801-30694

RIA

Registered Investment Advisory firm - (11/27/1987 Approved)

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Contact information

Main Address

Scenic Drive Professional Center 200 Brush Run Road, Suite A, Greensburg, PA 15601

Mailing Address

Phone number

(724) 468-5665

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (27 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV 2A 03-2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	5,387
AUM (Assets Under Management)	$ 1,126,006,619

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

James D. Ault

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Daniel Ault's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUSTMONT FINANCIAL GROUP, INC.

WATERSTONE FINANCIAL GROUP, INC.

WFG INVESTMENTS, INC.

PRO-INTEGRITY SECURITIES, INC.

HACKETT ASSOCIATES, INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

TRUSTMONT ADVISORY GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/19/1985

SIE

Date: 10/1/2018

Series 6

Date: 12/11/1985

Series 26

Date: 8/16/1988

FINRA

Current Firm

TRUSTMONT ADVISORY GROUP, INC.

Contact information

SEC notice filing (27 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRUSTMONT ADVISORY GROUP, INC.

TRUST BUT VERIFY

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