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Vernon H. Coates

TRUSTMONT ADVISORY GROUP
Marion, IA
Some features on this profile are disabled
CRD#: 5601437
VC

Professional summary

Vernon Hunter Coates II, who also goes by Vern H Coates II, Vernon Hunter Coates, is a registered financial advisor currently at TRUSTMONT ADVISORY GROUP, INC. located in Marion, Iowa and TRUSTMONT FINANCIAL GROUP, INC. located in Greensburg, Pennsylvania.

Vernon is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Vernon has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Vern H Coates Ii | Vernon Hunter Coates

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.
Henschen & Associates, LLC - Investment Related - PO Box 11123, Cedar Rapids, IA 52410 - Owner- Recruiting Financial Advisors - SVP Business Development - 01/2020 Seaside Lighthouse Association-Cedar Rapids, IA-Non Profit Organization-Board of Directors-5/2018-Non Profit organization hosts community events and provides support to low income families. Duties include voting on decisions related to the organization. All members of the board are family members.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Vernon Hunter Coates II'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 4, 2021 - Present

TRUSTMONT ADVISORY GROUP, INC.

RIA
CRD#: 106015
Marion, IA
Current

February 5, 2021 - Present

TRUSTMONT FINANCIAL GROUP, INC.

Office #1: Scenic Drive Professional Center 200 Brush Run Road, Suite A, Greensburg, PA 15601
BD
CRD#: 18312
Greensburg, PA
Past

September 24, 2015 - December 22, 2019

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

RIA
CRD#: 13609
CEDAR RAPIDS, IA
Past

May 14, 2009 - December 22, 2019

BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC.

BD
CRD#: 13609
CEDAR RAPIDS, IA

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".
TA
TRUSTMONT ADVISORY GROUP, INC.
APPELMAN FINANCIAL | TRUSTMONT FINANCIAL GROUP, INC. | TRUSTMONT ADVISORY GROUP, INC. | TRUSTMARK ADVISORY GROUP, INC. | PWR PLANNERS | PRAXIS CAPITAL | HORIZON FINANCIAL ADVISORS | HELMICK & COMPANY WEALTH ADVISORS, LLC | CHAPEL HILL CAPITAL MANAGEMENT INC

CRD#: 106015 / SEC#: 801-30694

RIA
Registered Investment Advisory firm - (11/27/1987 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.
RR
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

IAR
Iowa
(2/4/2021)
RR
Iowa
(2/5/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/24/2015
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/13/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/10/2017
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TA
TRUSTMONT ADVISORY GROUP, INC.
APPELMAN FINANCIAL | TRUSTMONT FINANCIAL GROUP, INC. | TRUSTMONT ADVISORY GROUP, INC. | TRUSTMARK ADVISORY GROUP, INC. | PWR PLANNERS | PRAXIS CAPITAL | HORIZON FINANCIAL ADVISORS | HELMICK & COMPANY WEALTH ADVISORS, LLC | CHAPEL HILL CAPITAL MANAGEMENT INC

CRD#: 106015 / SEC#: 801-30694

RIA
Registered Investment Advisory firm - (11/27/1987 Approved)
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Contact information

Main Address
Scenic Drive Professional Center 200 Brush Run Road, Suite A, Greensburg, PA 15601
Mailing Address
Phone number
(724) 468-5665
Established
Firm type
Fiscal year end
# of Employees
59

SEC notice filing (27 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV 2A 03-2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts5,387
AUM (Assets Under Management)$ 1,126,006,619

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.

Company Information

TRUSTMONT ADVISORY GROUP, INC.

CRD#: 106015Marion, IA

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