Dawne Ann Ferland

St. Bernard Financial Services, INC.

27 Years of Experience

2 DisclosuresBrokerSells Insurance

View SEC Summary

Areas of Practice

Investment Management

St. Bernard Financial Services, INC.

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

43 advisors

Number of Clients

841 clients

Average Client Portfolio

$155K average

Assets Under Management

$130.5M

Fee Structure

Minimum Investment:None

Financial Planning:Investment management only

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

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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

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 Registrations8 states

COFLKYLAMAOHRITX

AdvisorBrokerBoth

Exams

No exam information available for this advisor.