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Dawne Ferland

St. Bernard Financial Services, INC.
28 Years of Experience
Union, KY
2 DisclosuresBrokerSells Insurance
View SEC Summary
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Dawne Ferland is a registered investment advisor at St. Bernard Financial Services, INC., based in Union, KY, with 28 years of industry experience. Dawne is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Estate Planning, Insurance Planning, Investment Management, and 2 more. Their firm serves 798 clients with $140M in assets under management.

St. Bernard Financial Services, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
42 advisors
Number of Clients
798 clients
Average Client Portfolio
$171K average
Assets Under Management
$136.2M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $50K2.00%
$50K - $100K1.75%
$100K - $250K1.50%
$250K - $500K1.25%
$500K - $5.0M1.00%
$5M+1.00%

Fees for accounts over $5 million are negotiable. Clients may alternatively choose a flat fee to be negotiated.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Union, KY

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History

Regulatory History (2)
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
April 2006
Denied
Employment Separation After Allegations
May 2005
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Dawne operates branch offices for Woodstock Wealth Management, Inc. and St. Bernard Financial Services, Inc., spending minimal time on each. Dawne also sells non-securities insurance products as an agent for various insurance companies, dedicating a few hours per week.

Employment History
Current Registrations
St. Bernard Financial Services, INC.
January 2021 - Present · 5 yrs 9 mos
St. Bernard Financial Services, INC.Broker
January 2021 - Present · 5 yrs 9 mos
Woodstock Wealth Management, INC.
June 2018 - Present · 8 yrs 4 mos
Previous Registrations
Woodstock Financial Group, INC.
August 2005 - October 2018 · 13 yrs 2 mos
Woodstock Financial Group, INC.Broker
August 2005 - December 2019 · 14 yrs 4 mos
A. G. Edwards & Sons, INC.
January 2003 - May 2005 · 2 yrs 4 mos
A. G. Edwards & Sons, INC.Broker
January 2003 - May 2005 · 2 yrs 4 mos
Prudential Securities Incorporated
October 2001 - January 2003 · 1 yr 3 mos
Prudential Securities IncorporatedBroker
March 1998 - January 2003 · 4 yrs 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 1997 - September 1997 · 2 mos
State Registrations7 states
COFLKYLAOHRITX
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.
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Dawne Ferland - Financial Advisor | TrueAdvisor