Amy L. Gates

TRUST ADVISORY GROUP LTD

Palm Harbor, FL

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CRD#: 2488456

Professional summary

Amy Lorraine Gates, who also goes by Amy Lorraine Phlipot, is a registered financial advisor currently at TRUST ADVISORY GROUP LTD located in Palm Harbor, Florida and STONEX SECURITIES INC. located in Palm Harbor, Florida.

Amy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Amy has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Amy Lorraine Phlipot

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amy Lorraine Gates'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

October 23, 2008 - Present

TRUST ADVISORY GROUP LTD

RIA

CRD#: 106926

Palm Harbor, FL

Current

October 1, 2024 - Present

STONEX SECURITIES INC.

CRD#: 18456

Palm Harbor, FL

Past

January 14, 2009 - September 23, 2024

AGES FINANCIAL SERVICES, LTD.

CRD#: 15427

Warwick, RI

Past

October 20, 2004 - March 23, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

PAWTUCKET, RI

Past

October 20, 2004 - March 23, 2006

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

BOSTON, MA

Past

September 4, 2002 - October 20, 2004

QUICK & REILLY, INC.

RIA

CRD#: 11217

PAWTUCKET, RI

Past

September 25, 2000 - October 20, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

July 17, 1998 - September 25, 2000

FIS SECURITIES, INC.

CRD#: 30533

BOSTON, MA

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".

TRUST ADVISORY GROUP LTD

CRD#: 106926 / SEC#: 801-46919

RIA

Registered Investment Advisory firm - (7/25/1994 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

Arizona
(10/18/2024)

Connecticut
(10/2/2024)

IAR

Florida
(3/22/2010)

Florida
(10/18/2024)

Massachusetts
(11/12/2024)

New Hampshire
(1/3/2025)

Rhode Island
(11/4/2024)

Vermont
(11/14/2024)

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 65

Date: 3/22/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/18/1998

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: 7/20/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/16/1998

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

TRUST ADVISORY GROUP LTD

CRD#: 106926 / SEC#: 801-46919

RIA

Registered Investment Advisory firm - (7/25/1994 Approved)

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Contact information

Main Address

2 Perimeter Park South Suite 500 West, Birmingham, AL 35243

Mailing Address

Phone number

(800) 292-2411

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (34 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TAG ADV2A 072825 (7/29/2025)

Regulatory assets under management

Total Number of Accounts	1,720
AUM (Assets Under Management)	$ 494,407,359

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/28/2026	Cover Page	Report

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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Firm Stability Insights

Amy L. Gates

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amy Lorraine Gates's CRS (Customer Relationship Summary).

Certified licenses

Experience

STONEX SECURITIES INC.

AGES FINANCIAL SERVICES, LTD.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

QUICK & REILLY, INC.

QUICK & REILLY, INC.

FIS SECURITIES, INC.

Primary Firm SEC Registration

TRUST ADVISORY GROUP LTD

State Registrations and Notice Filings

Exams

Series 65

Date: 3/22/2001

Series 63

Date: 6/18/1998

SIE

Date: 10/1/2018

Series 7

Date: 7/20/2000

Series 6

Date: 7/16/1998

FINRA

Current Firm

TRUST ADVISORY GROUP LTD

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TRUST ADVISORY GROUP LTD

TRUST BUT VERIFY

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