Dean R. St. Marie

THE FIDUCIARY ALLIANCE

BREVARD, NC 28712

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CRD#: 2029154

Professional summary

Dean Roger St. Marie, CFP®, who also goes by Dean Roger St Marie, Dean Roger Stmarie, is a registered financial advisor currently at THE FIDUCIARY ALLIANCE located in Brevard, North Carolina.

Dean is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Dean has worked at 9 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dean Roger St Marie | Dean Roger Stmarie

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) 2/2008 Independent Licensed insurance Agent; Investment Related; Brevard, North Carolina; Life, LTC, fixed annuities; < 20 hours per month during trading hours; non-investment related 2) SAFE Womens Domestic Violence Services; Brevard, North Carolina; Board Member/Finance Committee; 2 hours per month during market hours; non-investment related 3) Friend of Ecusta Trail Rail Trail Project; Board Member; 2 hours per month during market hours; non-investment related 4) Rental Property owner; Brevard, North Carolina; Duplex owner; 5 hours per month after market hours; investment related

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dean Roger St. Marie'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®

CFP^®

Certified Financial Planner

Start date: 2004

Experience

Current

January 2, 2025 - Present

THE FIDUCIARY ALLIANCE

Office #1: 100 Elks Club Road, Brevard, NC 28712

RIA

CRD#: 284924

BREVARD, NC

Past

April 24, 2019 - December 31, 2024

BISON WEALTH, LLC

RIA

CRD#: 165931

Brevard, NC

Past

November 17, 2015 - August 10, 2016

CAROLINA FINANCIAL SECURITIES, LLC

CRD#: 41970

BREVARD, NC

Past

November 7, 2013 - August 29, 2019

ST. MARIE FINANCIAL ADVISORS, LLC

RIA

CRD#: 168425

BREVARD, NC

Past

October 26, 2011 - November 4, 2013

INDEPENDENT FINANCIAL PARTNERS

RIA

CRD#: 125112

BREVARD, NC

Past

October 19, 2011 - November 6, 2013

LPL FINANCIAL LLC

CRD#: 6413

BREVARD, NC

Past

March 3, 2008 - October 18, 2011

EDWARD JONES

RIA

CRD#: 250

BREVARD, NC

Past

February 29, 2008 - October 18, 2011

EDWARD JONES

CRD#: 250

BREVARD, NC

Past

June 29, 2006 - March 3, 2008

CFG WEALTH MANAGEMENT, LLC

RIA

CRD#: 135653

BREVARD, NC

Past

March 23, 2006 - March 3, 2008

CAROLINA FINANCIAL SECURITIES, LLC

CRD#: 41970

BREVARD, NC

Past

October 27, 2003 - December 31, 2004

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

BREVARD, NC

Past

October 20, 2003 - December 31, 2004

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

February 3, 1999 - October 28, 2002

CAROLINA FINANCIAL SECURITIES, LLC

CRD#: 41970

BREVARD, NC

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".

THE FIDUCIARY ALLIANCE

CRD#: 284924 / SEC#: 801-108283

RIA

Registered Investment Advisory firm - (8/17/2016 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.

Highlighted states indicate IAR registrations

IAR

North Carolina
(1/2/2025)

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

Series 63

Date: 2/1/1999

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/12/1997

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 8/10/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/2/1999

General Securities Representative Examination

Current Firm

THE FIDUCIARY ALLIANCE

CRD#: 284924 / SEC#: 801-108283

RIA

Registered Investment Advisory firm - (8/17/2016 Approved)

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Contact information

Main Address

135 S Main St Suite 600, Greenville, SC 29601

Mailing Address

Phone number

(864) 385-7999

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (29 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TFA ADV 2A (5/23/2025)

Regulatory assets under management

Total Number of Accounts	6,842
AUM (Assets Under Management)	$ 1,921,956,974

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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Advisor Monitoring

Firm Stability Insights

Dean R. St. Marie

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dean Roger St. Marie's CRS (Customer Relationship Summary).

Certified licenses

Experience

BISON WEALTH, LLC

CAROLINA FINANCIAL SECURITIES, LLC

ST. MARIE FINANCIAL ADVISORS, LLC

INDEPENDENT FINANCIAL PARTNERS

LPL FINANCIAL LLC

EDWARD JONES

EDWARD JONES

CFG WEALTH MANAGEMENT, LLC

CAROLINA FINANCIAL SECURITIES, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

CAROLINA FINANCIAL SECURITIES, LLC

Primary Firm SEC Registration

THE FIDUCIARY ALLIANCE

State Registrations and Notice Filings

Exams

Series 63

Date: 2/1/1999

Series 65

Date: 2/12/1997

SIE

Date: 8/10/2016

Series 7

Date: 2/2/1999

Current Firm

THE FIDUCIARY ALLIANCE

Contact information

SEC notice filing (29 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE FIDUCIARY ALLIANCE

TRUST BUT VERIFY

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