Douglas J. Smith
Professional summary
Douglas John Smith is a registered financial advisor currently at TRUSTMONT ADVISORY GROUP, INC. located in Moon Twp, Pennsylvania and TRUSTMONT FINANCIAL GROUP, INC. located in Moon Twp, Pennsylvania.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Douglas has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Douglas John Smith's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 7, 2007 - Present
TRUSTMONT ADVISORY GROUP, INC.
January 3, 2007 - Present
TRUSTMONT FINANCIAL GROUP, INC.
August 27, 1998 - December 31, 2006
OLDE ECONOMIE FINANCIAL CONSULTANTS, LTD.
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
(2/13/2007)
(2/5/2007)
(1/10/2019)
(1/18/2007)
(1/3/2007)
(2/5/2007)
(3/26/2020)
(9/22/2021)
(3/26/2015)
(2/5/2007)
(1/3/2007)
(3/7/2007)
(7/21/2021)
(3/8/2007)
(3/8/2007)
(1/3/2012)
(1/3/2007)
Exams
FINRA
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
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