Dustin J. Najar

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CRD#: 4213881

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.

Dustin J Najar, who also goes by Dustin Joseph Najar, was a registered financial professional .

Dustin is a previously registered financial professional and started their career in finance in 2000. Dustin had worked at 8 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dustin Joseph Najar

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

February 7, 2017 - June 28, 2021

HMS INVESTMENT ADVISORS

RIA

CRD#: 149764

NASHVILLE, TN

Past

July 23, 2015 - December 31, 2016

HALO ADVISORS, LLC

RIA

CRD#: 175011

MURFREESBORO, TN

Past

July 16, 2014 - December 31, 2014

INFINITY INVESTMENT GROUP, LLC

RIA

CRD#: 170830

NASHVILLE, TN

Past

March 27, 2012 - February 26, 2013

TD AMERITRADE, INC.

RIA

CRD#: 7870

BRENTWOOD, TN

Past

March 27, 2012 - February 26, 2013

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

BRENTWOOD, TN

Past

March 27, 2012 - February 26, 2013

TD AMERITRADE, INC.

CRD#: 7870

BRENTWOOD, TN

Past

August 17, 2010 - March 21, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NASHVILLE, TN

Past

July 16, 2010 - March 21, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NASHVILLE, TN

Past

February 7, 2002 - July 17, 2002

CITY SECURITIES CORPORATION

CRD#: 1459

INDIANAPOLIS, IN

Past

September 15, 2000 - June 28, 2001

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

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".

HMS INVESTMENT ADVISORS

HARMONY INVESTMENT MANAGEMENT, INC. | STERLING RETIREMENT MANAGEMENT | HMS INVESTMENT ADVISORS | HMS CAPITAL MANAGEMENT, LLC

CRD#: 149764 / SEC#: 801-78569

RIA

Registered Investment Advisory firm - (10/8/2013 Approved)

Arkansas

Registered Investment Advisory firm - (10/10/2013 Terminated)

Louisiana

Registered Investment Advisory firm - (11/1/2013 Terminated)

Tennessee

Registered Investment Advisory firm - (11/9/2013 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/10/2010

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/6/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/15/2010

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/14/2000

Investment Company Products/Variable Contracts Representative Examination

Current Firm

HMS INVESTMENT ADVISORS

HARMONY INVESTMENT MANAGEMENT, INC. | STERLING RETIREMENT MANAGEMENT | HMS INVESTMENT ADVISORS | HMS CAPITAL MANAGEMENT, LLC

CRD#: 149764 / SEC#: 801-78569

RIA

Registered Investment Advisory firm - (10/8/2013 Approved)

Arkansas

Registered Investment Advisory firm - (10/10/2013 Terminated)

Louisiana

Registered Investment Advisory firm - (11/1/2013 Terminated)

Tennessee

Registered Investment Advisory firm - (11/9/2013 Terminated)

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Contact information

Main Address

5130 Ashland City Hwy, Nashville, TN 37218

Mailing Address

Phone number

(615) 829-7200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A - HMS CAPITAL MANAGEMENT (2/5/2025)

Regulatory assets under management

Total Number of Accounts	376
AUM (Assets Under Management)	$ 281,932,427

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/21/2025	Cover Page	Report
07/24/2024	Cover Page	Report
12/18/2023	Cover Page	Report
10/26/2022	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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Advisor Monitoring

Firm Stability Insights

Dustin J. Najar

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

HALO ADVISORS, LLC

INFINITY INVESTMENT GROUP, LLC

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CITY SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

Primary Firm SEC Registration

HMS INVESTMENT ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 8/10/2010

Series 63

Date: 10/6/2000

Series 7

Date: 7/15/2010

Series 6

Date: 9/14/2000

Current Firm

HMS INVESTMENT ADVISORS

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

HMS INVESTMENT ADVISORS

TRUST BUT VERIFY

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