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Current Employers
Trust Advisory Group Ltd

2 Perimeter Park South Suite 500 West, Birmingham, AL 35243 • United States

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2017-02-27
  • AZ RA
    APPROVED
    Since 2017-02-27

Branch Locations

Sedona, AZ • United States

2 Perimeter Park South Suite 500 West, Birmingham, AL 35243 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Source Capital Group, Inc. Westport CT 12/2001 02/2017
Ages Financial Services, Ltd. Reading MA 02/2017 09/2024
Trust Advisory Group, Ltd Sedona AZ 02/2017 Present
Stonex Securities Inc Sedona AZ 09/2024 Present
  • 12/2001 → 02/2017
    Source Capital Group, Inc.
    Westport, CT
  • 02/2017 → 09/2024
    Ages Financial Services, Ltd.
    Reading, MA
  • 02/2017 → Present
    Sedona, AZ
  • 09/2024 → Present
    Stonex Securities Inc
    Sedona, AZ
Previous Registrations
  • 2006-10-18 → 2017-02-10
    Source Capital Group, Inc.
    Westport, CT
    Westport, CT
    Sedona, AZ
    Westport, CT
    Westport, CT
  • 2002-02-13 → 2006-10-17
    Source Capital Management
    Westport, CT
    Westport, CT
Other Businesses

Parade Deck Holdings, Inc.; NOT investment relates; 413 Independence Ave SE, Washington DC, 20003; working with the VA, VFW, and military organizations to help military veterans; member of the Board of Directors; 09/03/2025; 1 hr/month during non-trading hours; comment on ongoing business development

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-11-16
S63 Uniform Securities Agent State Law Examination 1987-12-15
  • S65 Uniform Investment Adviser Law Examination
    1992-11-16
  • S63 Uniform Securities Agent State Law Examination
    1987-12-15

View on SEC IAPD

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