Trudy A. Fearon

OAKTREE ADVISORS

COOPERSBURG, PA 18036

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CRD#: 857412

Professional summary

Trudy Ann Fearon, who also goes by Trudy Ann Dorward, Trudy A Heffner, Trudy Ann Heffner, Trudy Ann Schurter, is a registered financial advisor currently at OAKTREE ADVISORS LLC located in Coopersburg, Pennsylvania.

Trudy is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1978. Trudy has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 15, Series 7, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Trudy Ann Dorward | Trudy A Heffner | Trudy Ann Heffner | Trudy Ann Schurter

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) - RIA

Click below to view Trudy Ann Fearon'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

November 22, 2016 - Present

OAKTREE ADVISORS LLC

Office #1: 6666 Passer Road Suite 4, Coopersburg, PA 18036

RIA

CRD#: 168271

COOPERSBURG, PA

Past

November 8, 2016 - February 2, 2022

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

Coopersburg, PA

Past

May 7, 2013 - November 17, 2016

LOMBARD ADVISERS INCORPORATED

RIA

CRD#: 108231

ALLENTOWN, PA

Past

May 7, 2013 - November 17, 2016

LOMBARD SECURITIES INCORPORATED

CRD#: 27954

ALLENTOWN, PA

Past

August 17, 2010 - May 10, 2013

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

ALLENTOWN, PA

Past

January 7, 2005 - May 10, 2013

MML INVESTORS SERVICES, LLC

CRD#: 10409

ALLENTOWN, PA

Past

September 24, 1991 - August 19, 2004

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

August 15, 1986 - July 25, 1990

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

September 25, 1978 - August 4, 1986

LEGG MASON WARREN YORK, INC.

CRD#: 873

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".

OAKTREE ADVISORS LLC

CRD#: 168271 / SEC#: 801-129908

RIA

Registered Investment Advisory firm - (4/11/2024 Approved)

Florida

Registered Investment Advisory firm - (8/29/2024 Terminated)

Pennsylvania

Registered Investment Advisory firm - (8/30/2024 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Pennsylvania
(11/22/2016)

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: 10/5/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/20/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 15

Date: 5/17/1984

Foreign Currency Options Examination

General Industry/Product Exam

Series 7

Date: 9/16/1978

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 1/2/2023

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 4/16/1987

General Securities Principal Examination

Current Firm

OAKTREE ADVISORS LLC

CRD#: 168271 / SEC#: 801-129908

RIA

Registered Investment Advisory firm - (4/11/2024 Approved)

Florida

Registered Investment Advisory firm - (8/29/2024 Terminated)

Pennsylvania

Registered Investment Advisory firm - (8/30/2024 Terminated)

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Contact information

Main Address

6666 Passer Road Suite 4, Coopersburg, PA 18036

Mailing Address

Phone number

(610) 882-5670

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

OA ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	548
AUM (Assets Under Management)	$ 179,250,901

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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Trudy A. Fearon

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Trudy Ann Fearon's CRS (Customer Relationship Summary).

Certified licenses

Experience

OAKTREE ADVISORS LLC

PURSHE KAPLAN STERLING INVESTMENTS

LOMBARD ADVISERS INCORPORATED

LOMBARD SECURITIES INCORPORATED

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

LEGG MASON WARREN YORK, INC.

Primary Firm SEC Registration

OAKTREE ADVISORS LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/5/1995

Series 63

Date: 1/20/1988

SIE

Date: 10/1/2018

Series 15

Date: 5/17/1984

Series 7

Date: 9/16/1978

Series 4

Date: 1/2/2023

Series 24

Date: 4/16/1987

Current Firm

OAKTREE ADVISORS LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

OAKTREE ADVISORS LLC

TRUST BUT VERIFY

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