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Current Employers
Great Valley Advisor Group, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-04-05
FL RA APPROVED 2022-03-28
  • TX RA
    APPROVED_RES
    Since 2024-04-05
  • FL RA
    APPROVED
    Since 2022-03-28

Branch Locations

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

3837 Nw Boca Raton Blvd, Ste 100, Boca Raton, FL 33431 • 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
Lpl Financial Llc Boca Raton FL 06/2012 Present
Gaines Financial Group, Inc. Boca Raton FL 07/2012 Present
Great Valley Advisor Group, Inc Wilmington DE 02/2022 Present
  • 06/2012 → Present
    Lpl Financial Llc
    Boca Raton, FL
  • 07/2012 → Present
    Gaines Financial Group, Inc.
    Boca Raton, FL
  • 02/2022 → Present
    Great Valley Advisor Group, Inc
    Wilmington, DE
Previous Registrations
  • 2012-08-07 → 2022-04-27
    Gaines Financial Group
    Boca Raton, FL
Other Businesses

(1) 05/28/2013 - NON-VARIABLE INSURANCE - SALES OF LIFE. HEALTH, DI LTC BUSINESS - 5% OF TIME SPENT - BOCA RATON, FL (2) 5/30/2019 - Boyar Wealth Management, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 06/01/2019. (3) 04/12/2022 - Great Valley Advisor Group, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date: 04/08/2022 - 150 Hours Per Month/140 Hours During Securities Trading - Time Spent 90% - I provide investment advisory services through Great Valley Advisor Group, Inc., an independent investment advisor firm. I started this business activity in 4/2022. I expect to spend approximately 1560 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.advisorinfo.sec.gov/IAPD. This firm is separate from and independent of LPL Financial.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-05-24
S63 Uniform Securities Agent State Law Examination 2002-09-23
  • S66 Uniform Combined State Law Examination
    2012-05-24
  • S63 Uniform Securities Agent State Law Examination
    2002-09-23

View on SEC IAPD

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