Bernard Nugent is a registered investment advisor, based in Birmingham, AL, with 41 years of industry experience.
Location
2 Perimeter Park South, Suite 500 West, Birmingham, AL, 35243
Get directionsHistory
Regulatory History (4)
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Customer Dispute
March 2011Settled
Regulatory
September 2004Final
Customer Dispute
March 2002Settled
Customer Dispute
March 2000Denied
Other Business ActivitiesSells Insurance
Bernard is the sole owner and president of Investment Securities Group, which provides a location for his primary business as a StoneX advisor and involves investment of securities and insurance products. He spends minimal time on this outside business activity.
Employment History
Current Registrations
Stonex Securities INC.Broker
October 2024 - Present · 1 yr 6 mos
Trust Advisory Group LTD
March 2010 - Present · 16 yrs 1 mo
Previous Registrations
Ages Financial Services, LTD.Broker
February 2010 - September 2024 · 14 yrs 7 mos
Delta Global Asset Management
June 2005 - February 2010 · 4 yrs 8 mos
Delta Equity Services CorporationBroker
May 2003 - February 2010 · 6 yrs 9 mos
Raymond James Financial Services, INC.Broker
November 1997 - June 2003 · 5 yrs 7 mos
Dean Witter Reynolds INC.Broker
September 1992 - November 1997 · 5 yrs 2 mos
Painewebber IncorporatedBroker
June 1988 - September 1992 · 4 yrs 3 mos
Shearson Lehman Hutton INC.Broker
March 1986 - July 1988 · 2 yrs 4 mos
Pruco Securities CorporationBroker
July 1984 - January 1986 · 1 yr 6 mos
State Registrations11 states
CTFLMAMEMINCNHNYSCTXVT
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.