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920 Cassatt Road Suite 202, Berwyn, PA 19312 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-04-05 |
| FL | RA | APPROVED | 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
2 disclosure categories 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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Boca Raton | FL | 11/2011 | Present |
| Gaines Financial Group | Boca Raton | FL | 12/2011 | Present |
1. 3/17/2014 - No Business Name - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - Time Spent 1% - SALES OF LIFE, HEALTH, DI & LTC BUSINESS. 2. 9/9/2016 - No Business Name - Investment Related- Delray Beach, FL 33445 - Real Estate Rental - 0 Hours Per Month - Rental property personally owned. 3. 9/19/2019 - OC Wealth Management, Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 08/27/2019 - 150 Hours Per Month/7 Hours During Securities Trading - S-Corp. 4. 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- 160 Hours Per Month/130 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 4/2022. 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, 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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2003-12-29 |
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