Sara S. Alley

TRUSTMONT ADVISORY GROUP

ANDERSON, SC 29621

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CRD#: 2390896

Professional summary

Sara Southerland Alley, who also goes by Sara Southerland Gaines, Sara Gaines-winchester, Sara Southerland, Sara Southerland Winchester, is a registered financial advisor currently at TRUSTMONT ADVISORY GROUP, INC. located in Anderson, South Carolina and TRUSTMONT FINANCIAL GROUP, INC. located in Anderson, South Carolina.

Sara is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Sara has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sara Southerland Gaines | Sara Gaines-Winchester | Sara Southerland | Sara Southerland Winchester

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.

DBA SARA ALLEY , FINANCIAL ADVISOR,106 WINDHAM DR. ANDERSON, SC. FINANCIAL ADVISOR-150 HPM DURING SECURITIES TRADING HOURS. INSURANCE AGENT ENGAGING IN THE SALE OF LIFE INSURANCE, FIXED ANNUITIES AND FIXED INDEXED ANNUITIES. 4 HOURS PER TRADING DAY.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sara Southerland Alley'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

August 25, 2010 - Present

TRUSTMONT ADVISORY GROUP, INC.

Office #1: 106 Windham Drive, Anderson, SC 29621

RIA

CRD#: 106015

ANDERSON, SC

Current

August 16, 2010 - Present

TRUSTMONT FINANCIAL GROUP, INC.

Office #1: 106 Windham Drive, Anderson, SC 29621

CRD#: 18312

Anderson, SC

Past

October 5, 2009 - August 23, 2010

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

GREENVILLE, SC

Past

September 29, 2009 - August 13, 2010

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

GREENVILLE, SC

Past

March 3, 2006 - September 30, 2009

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

GREENVILLE, SC

Past

March 3, 2006 - September 30, 2009

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

GREENVILLE, SC

Past

January 3, 2005 - March 9, 2006

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

ANDERSON, SC

Past

January 3, 2005 - March 9, 2006

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

ATLANTA, GA

Past

January 27, 2003 - January 3, 2005

NCF FINANCIAL SERVICES, INC.

RIA

CRD#: 120471

ANDERSON, SC

Past

September 30, 2002 - January 3, 2005

NCF FINANCIAL SERVICES, INC.

CRD#: 120471

DURHAM, NC

Past

January 23, 2002 - September 30, 2002

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

April 12, 2001 - January 7, 2002

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

December 7, 1998 - April 12, 2001

REGIONS INVESTMENT COMPANY, INC.

CRD#: 17618

BIRMINGHAM, AL

Past

February 3, 1998 - December 15, 1998

WACHOVIA BROKERAGE SERVICE

CRD#: 17503

WINSTON SALEM, NC

Past

December 21, 1993 - January 27, 1998

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

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

Colorado
(10/1/2025)

Georgia
(8/27/2010)

Maryland
(8/28/2012)

North Carolina
(8/16/2010)

South Carolina
(8/23/2010)

IAR

South Carolina
(8/25/2010)

Virginia
(7/9/2020)

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

IAR

Series 66

Date: 9/20/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/18/1993

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: 1/10/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/20/1993

Investment Company Products/Variable Contracts Representative 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

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

Sara S. Alley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sara Southerland Alley's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRUSTMONT FINANCIAL GROUP, INC.

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RAYMOND JAMES FINANCIAL SERVICES, INC.

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

NCF FINANCIAL SERVICES, INC.

NCF FINANCIAL SERVICES, INC.

INVEST FINANCIAL CORPORATION

MORGAN KEEGAN & COMPANY, LLC

REGIONS INVESTMENT COMPANY, INC.

WACHOVIA BROKERAGE SERVICE

OSAIC WEALTH, INC.

Primary Firm SEC Registration

TRUSTMONT ADVISORY GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/20/2002

Series 63

Date: 10/18/1993

SIE

Date: 10/1/2018

Series 7

Date: 1/10/1997

Series 6

Date: 12/20/1993

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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