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SD

Suzanne H. Dashner

Some features on this profile are disabled
CRD#: 839673
SD

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.

Suzanne Helen Dashner was a registered financial professional .

Suzanne is a previously registered financial professional and started their career in finance in 1977. Suzanne had worked at 9 firms and has passed the Series 65, Series 63, SIE, PC and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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

March 8, 2019 - July 2, 2019

TRUSTMONT ADVISORY GROUP, INC.

RIA
CRD#: 106015
IOWA CITY, IA
Past

March 7, 2019 - June 27, 2019

TRUSTMONT FINANCIAL GROUP, INC.

BD
CRD#: 18312
IOWA CITY, IA
Past

August 8, 2012 - December 31, 2018

MODERN CAPITAL SECURITIES INC.

RIA
CRD#: 130876
IOWA CITY, IA
Past

August 17, 2009 - March 7, 2019

MODERN CAPITAL SECURITIES INC.

BD
CRD#: 130876
IOWA CITY, IA
Past

June 21, 2007 - July 7, 2009

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
IOWA CITY, IA
Past

March 17, 1988 - July 12, 2007

EDWARD JONES

BD
CRD#: 250
IOWA CITY, IA
Past

March 6, 1984 - March 2, 1988

LEHMAN BROTHERS INC.

BD
CRD#: 7506
Past

March 3, 1981 - March 13, 1984

MORGAN STANLEY DW INC.

BD
CRD#: 7556
Past

September 26, 1978 - March 18, 1981

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
Past

July 5, 1977 - September 26, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

BD
CRD#: 572

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/16/2012
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/7/1983
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
PC
Date: 3/3/1981
AMEX Put and Call Exam
General Industry/Product Exam
RR
Series 7
Date: 6/18/1977
General Securities Representative Examination

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)
PREMIUM
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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#: 106015

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