Joseph R. Donato

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CRD#: 4218627

Professional summary

Joseph R Donato was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Joseph is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, Joseph had worked at 5 firms, which includes TRUST ADVISORY GROUP LTD, AGES FINANCIAL SERVICES LTD., INVESTORS CAPITAL CORP., EASTERN POINT ADVISORS INC., COMMONWEALTH FINANCIAL NETWORK.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

June 14, 2011 - September 27, 2013

TRUST ADVISORY GROUP LTD

RIA

CRD#: 106926

BIRMINGHAM, AL

Past

June 9, 2011 - September 27, 2013

AGES FINANCIAL SERVICES, LTD.

CRD#: 15427

FRAMINGHAM, MA

Past

June 16, 2005 - May 6, 2011

INVESTORS CAPITAL CORP.

RIA

CRD#: 30613

FRAMINGHAM, MA

Past

January 12, 2004 - June 16, 2005

EASTERN POINT ADVISORS INC.

RIA

CRD#: 107123

LYNNFIELD, MA

Past

January 2, 2004 - May 6, 2011

INVESTORS CAPITAL CORP.

CRD#: 30613

FRAMINGHAM, MA

Past

February 25, 2001 - December 31, 2003

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

NATICK, MA

Past

October 20, 2000 - December 31, 2003

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

WALTHAM, 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.

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 65

Date: 1/3/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/13/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/19/2000

General Securities Representative Examination

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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Firm Stability Insights

Joseph R. Donato

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AGES FINANCIAL SERVICES, LTD.

INVESTORS CAPITAL CORP.

EASTERN POINT ADVISORS INC.

INVESTORS CAPITAL CORP.

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

Primary Firm SEC Registration

TRUST ADVISORY GROUP LTD

State Registrations and Notice Filings

Exams

Series 65

Date: 1/3/2001

Series 63

Date: 11/13/2000

Series 7

Date: 10/19/2000

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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