Karen W. Dewar
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.
Karen Wetherill Dewar, who also goes by Karen Wetherill Spehrley, was a registered financial professional .
Karen is a previously registered financial professional and started their career in finance in 1994. Karen had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 25, 2013 - December 27, 2016
TRUSTMONT ADVISORY GROUP, INC.
January 25, 2013 - December 27, 2016
TRUSTMONT FINANCIAL GROUP, INC.
January 15, 2008 - February 15, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 28, 1997 - February 15, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 27, 1995 - May 29, 1997
VOYA FINANCIAL ADVISORS, INC.
April 7, 1994 - October 5, 1995
SECO WEST LIMITED
Primary Firm SEC Registration
TRUSTMONT ADVISORY GROUP, INC.
CRD#: 106015 / SEC#: 801-30694
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRUSTMONT ADVISORY GROUP, INC.
CRD#: 106015 / SEC#: 801-30694
Contact information
SEC notice filing (27 States and Territories)
Documents
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.
