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Current Employers
Great Valley Advisor Group, Llc

920 Cassatt Road Suite 202, Berwyn, PA 19312 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2023-05-08
  • PA RA
    APPROVED
    Since 2023-05-08

Branch Locations

165 W Ashland Street, Doylestown, PA 18901 • United States

920 Cassatt Road Suite 202, Berwyn, PA 19312 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors, Llc Plymouth Meeting PA 07/2013 11/2016
Wells Fargo Clearing Services, Llc Plymouth Meeting PA 11/2016 05/2023
Lpl Financial Doylestown PA 05/2023 Present
  • 07/2013 → 11/2016
    Wells Fargo Advisors, Llc
    Plymouth Meeting, PA
  • 11/2016 → 05/2023
    Plymouth Meeting, PA
  • 05/2023 → Present
    Lpl Financial
    Doylestown, PA
Previous Registrations
Other Businesses

1) 04/27/2023 - Doylestown Wealth Management- DBA for LPL Business (entity for LPL business) - inv. related- Doylestown, PA 2) 05/16/2023 - Great Valley Advisor Group, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Advisor - Start Date 4/12/2023 - 160 Hours Per Month/ 7 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Great Valley Advisor Group, Inc. an independent investment advisor firm. I started this business activity in 5/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, nature of its business, its owners and its services at http://www.adviserinfo.sec.gov/IAPD. This firm is separate and independent of LPL Financial. 3) 05/23/2023 - Doylestown Wealth Management, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date 05/05/2023 - 160 Hours Per Month/ 160 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Great Valley Advisor Group, Inc. an independent investment advisor firm. I started this business activity in 5/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, nature of its business, its owners and its services at http://www.adviserinfo.sec.gov/IAPD. This firm is separate and independent of LPL Financial. 4) 05/23/2023 - Great Valley Advisor Group, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date 05/05/2023 - 160 Hours Per Month/ 7 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Great Valley Advisor Group, Inc. an independent investment advisor firm. I started this business activity in 5/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, nature of its business, its owners and its services at http://www.adviserinfo.sec.gov/IAPD. This firm is separate and independent of LPL Financial.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-12-01
S63 Uniform Securities Agent State Law Examination 2001-09-07
  • S65 Uniform Investment Adviser Law Examination
    2011-12-01
  • S63 Uniform Securities Agent State Law Examination
    2001-09-07

View on SEC IAPD

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