Wilder D. Carnes

TRUST ADVISORY GROUP LTD

Newtown, CT

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CRD#: 2891466

Professional summary

Wilder Douglas Carnes, who also goes by Wilder D Carnes, is a registered financial advisor currently at TRUST ADVISORY GROUP LTD located in Newtown, Connecticut and STONEX SECURITIES INC. located in Newton, Connecticut.

Wilder is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Wilder has worked at 8 firms and has passed the Series 65, Series 63, Series 6TO, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Wilder D Carnes

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.

Fixed Insurance to determine customer needs for life insurance products and offer sales and service of products at 150 A Hanover Rd, Newtown, CT 06470. Started on 3/1/2017. 15 hours per month; 0 during securities related trading hours. This is not investment related.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wilder Douglas Carnes'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

February 21, 2017 - Present

TRUST ADVISORY GROUP LTD

RIA

CRD#: 106926

Newtown, CT

Current

September 30, 2024 - Present

STONEX SECURITIES INC.

CRD#: 18456

Newton, CT

Past

February 17, 2017 - September 23, 2024

AGES FINANCIAL SERVICES, LTD.

CRD#: 15427

Westport, CT

Past

October 18, 2006 - July 24, 2017

SOURCE CAPITAL GROUP, INC.

RIA

CRD#: 36719

WESTPORT, CT

Past

October 19, 2004 - October 17, 2006

SOURCE CAPITAL MANAGEMENT

RIA

CRD#: 111967

WESTPORT, CT

Past

July 20, 2004 - April 24, 2017

SOURCE CAPITAL GROUP, INC.

CRD#: 36719

WESTPORT, CT

Past

December 19, 2002 - July 20, 2004

QUICK & REILLY, INC.

RIA

CRD#: 11217

SOUTHBURY, CT

Past

April 25, 2002 - July 20, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

November 13, 1998 - October 27, 2000

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

July 10, 1997 - November 17, 1998

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

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
(9/30/2024)

California
(9/30/2024)

IAR

Connecticut
(2/21/2017)

Connecticut
(10/1/2024)

Florida
(10/7/2024)

New York
(9/30/2024)

South Carolina
(10/1/2024)

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: 8/1/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/21/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 9/30/2024

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/9/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/31/2002

General Securities Principal 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

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

Wilder D. Carnes

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wilder Douglas Carnes's CRS (Customer Relationship Summary).

Certified licenses

Experience

STONEX SECURITIES INC.

AGES FINANCIAL SERVICES, LTD.

SOURCE CAPITAL GROUP, INC.

SOURCE CAPITAL MANAGEMENT

SOURCE CAPITAL GROUP, INC.

QUICK & REILLY, INC.

QUICK & REILLY, INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

TRUST ADVISORY GROUP LTD

State Registrations and Notice Filings

Exams

Series 65

Date: 8/1/1997

Series 63

Date: 7/21/1997

Series 6TO

Date: 9/30/2024

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/9/1997

Series 24

Date: 7/31/2002

FINRA

Current Firm

TRUST ADVISORY GROUP LTD

Contact information

SEC notice filing (34 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRUST ADVISORY GROUP LTD

TRUST BUT VERIFY

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