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Bernard Edward Nugent

Trust Advisory Group LTD
41 Years of Experience
4 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary
Areas of Practice
Investment ManagementRetirement PlanningEstate PlanningCharitable GivingEducation PlanningFinancial Planning & Coaching
Trust Advisory Group LTD
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
23 advisors
Number of Clients
1,119 clients
Average Client Portfolio
$442K average
Assets Under Management
$494.4M

Fee Structure

Minimum Annual Fee:$200

Location

2 Perimeter Park South, Suite 500 West, Birmingham, AL, 35243

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
March 2011
Settled
Regulatory
September 2004
Final
Customer Dispute
March 2002
Settled
Customer Dispute
March 2000
Denied
View Full SEC ReportHow to Read Disclosures
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 4 mos
Trust Advisory Group LTD
March 2010 - Present · 15 yrs 11 mos
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
Exams
No exam information available for this advisor.