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920 Cassatt Road Suite 202, Berwyn, PA 19312 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2015-06-23 |
| TX | RA | APPROVED | 2015-06-23 |
Branch Locations
780 Newtown Yardley Rd #310, Newtown, PA 18940 • United States
920 Cassatt Road Suite 202, Berwyn, PA 19312 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Associated Securities Corp. | Newton | PA | 12/2008 | Present |
| Lpl Financial Llc | Newton | PA | 09/2009 | Present |
| Great Valley Advisor Group, Inc | Newton | PA | 07/2015 | Present |
(1) 07/30/2015: Great Valley Advisor Group, Inc - Registered Investment Advisor Hybrid - INV REL - 780 Newtown-Yardley Road, Suite 310, Newtown PA 18940 - Start 07/15/2015 - 80 Hr/Mo; 4 Hours During Securities Trading - Investment Advisor Representative. Activities may include financial planning, rendering investment advice for a fee, retirement plan consulting, or other related financial consulting. (2) 07/21/2016: Lexington Financial - Non-Variable Insurance - INV REL - At Reported Busine780 Newtown-Yardley Road Suite 310, Newtown PA 18940 - Start 07/12/2016 - 3 Hr/Mo; 3 Hours During Securities Trading - Agent selling Life, LTC, Fixed Annuities (3) 09/13/2016: Great Valley Advisor Group, Inc. - Registered Investment Advisor DBA - DBA: The Capital Legacy, LLC - Investment Related - 780 Newtown-Yardley Road, Suite 310, Newtown, PA 18940 - Start 06/15/2015 - 120 Hr/Mo; 6 Hour(s) During Securities Trading - we do not provide financial plans or advice for hourly and/or fixed fees (4) 10/28/2016: The Capital Legacy, LLC - DBA for LPL Business (entity for LPL business) - Investment Related - 780 Newtown-Yardley Road, Suite 310, Newtown PA 18940 - Start 10/11/2016 - 25 Hr/Mo; 25 Hour(s) During Securities Trading. (5) 7/12/2017: LTC Solutions - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 07/07/2017 - 10 Hours Per Month/8 Hours During Securities Trading - Long term care. (6) 2/8/2022 - Capital Legacy LTC Division - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 1/12/2022 - 10 Hours Per Month/10 Hours During Securities Trading - Long Term Care Insurance. (7) 10/22/2025- 310 Newtown Office Park, LLC- Real Estate Rental- INV Related- At Reported Business Location(s)- Start date 09/19/2014- 1 Hour Per Month- 1 Hour During Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-06-19 |
| S63 | Uniform Securities Agent State Law Examination | 2003-10-30 |
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