TRUST ADVISORY GROUP LTD of BIRMINGHAM, AL is an SEC-registered investment adviser (CRD 106926). Regulatory assets under management: $313.5M.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities.
Showing 25 of 27 people.
| Name | Role | Location |
|---|---|---|
| Carter Don Wilson | PRESIDENT, CEO | Phoenix, AZ |
| Jay Wilson Carter | CHIEF EXECUTIVE OFFICER, DIRECTOR; PRESIDENT, CEO | — |
| Joseph John Porzio | CHIEF FINANCIAL OFFICER | — |
| Marcus Bryant Richardson | CHIEF OPERATIONS OFFICER; CHIEF OPERATIONS OFFICER / CHIEF EXECUTIVE OFFICER | — |
| William John Dunaway | DIRECTOR | — |
| Charles Martin Lyon | DIRECTOR | — |
| John Francis Calvano | CHIEF COMPLIANCE OFFICER | — |
| Mark L Maurer | DIRECTOR | — |
| Andrew R Chambless | GENERAL COUNSEL | — |
| Stuart Andrew Davison | DIRECTOR | — |
| Philip Andrew Smith | DIRECTOR | — |
| James Buchanan Mcauslan | DIRECTOR | — |
| Sean Michael O'Connor | DIRECTOR | — |
| OLSSON STEPHEN CHARLES | CHIEF COMPLIANCE OFFICER; PRESIDENT | — |
| KELLY ROBERT | CCO | — |
| O'CONNOR SEAN MICHAEL | DIRECTOR | — |
| MCCANCE WILLIAM HENRY | CCO; CHIEF COMPLIANCE OFFICER; CHIEF OPERATING OFFICER (+1 more) | — |
| LEMOINE SUSAN MARIE | PRINCIPAL | — |
| CALVANO JOHN FRANCIS | CHIEF COMPLIANCE OFFICER | — |
| RICHARDSON MARCUS BRYANT | CHIEF OPERATIONS OFFICER | — |
| DUNAWAY WILLIAM JOHN | DIRECTOR | — |
| LYON CHARLES MARTIN | DIRECTOR | — |
| MAURER MARK L | DIRECTOR | — |
| PORZIO JOSEPH JOHN | CHIEF FINANCIAL OFFICER | — |
| CHAMBLESS ANDREW R | GENERAL COUNSEL | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-06-07 | regulatory | ON JUNE 7, 2022, THE FIRM, WITHOUT ADMITTING OR DENYING THE FINDINGS, CONSENTED TO THE ENTRY OF THE U.S. SECURITIES AND EXCHANGE COMMISSION'S ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND DESIST PROCEEDINGS, PURSUANT TO SECTIONS 203(E) AND 203(K) OF THE INVESTMENT ADVISERS ACT OF 1940, MAKING FINDI… | Final | $50K |
| City | State | Employees | Phone |
|---|---|---|---|
| READING | MA | 3 | 7819336100 |
| SOUTH YARMOUTH | MA | 2 | 508-362-8100 |
| — | — | 1 | 912-658-8897 |
| — | — | 1 | 203-948-7664 |
| — | — | 1 | 203-795-5062 |
| CHESTER | NJ | 1 | 973-590-2655 |
| SAUGUS | MA | 1 | 781-233-2003 |
| — | — | 1 | 339-368-3116 |
| — | — | 1 | 928-203-5547 |
| — | — | 1 | 781-933-6100 |
| — | — | 1 | 413-205-7851 |
| HOLLISTON | MA | 1 | 617-306-1572 |
| — | — | 1 | 617-941-6463 |
| — | — | 1 | 401-308-8791 |