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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 2015-06-23
TX RA APPROVED 2015-06-23
  • PA RA
    APPROVED
    Since 2015-06-23
  • TX RA
    APPROVED
    Since 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

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
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
  • 12/2008 → Present
    Associated Securities Corp.
    Newton, PA
  • 09/2009 → Present
    Lpl Financial Llc
    Newton, PA
  • 07/2015 → Present
    Great Valley Advisor Group, Inc
    Newton, PA
Previous Registrations
  • 2008-07-09 → 2009-12-11
    Strategic Wealth Advisors Group
    Newtown, PA
  • 2008-12-22 → 2009-09-08
    Associated Securities Corp.
    Boston, MA
    Newton, PA
  • 2008-08-08 → 2008-12-31
    Fsc Securities Corporation
    Newtown, PA
Other Businesses

(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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-06-19
S63 Uniform Securities Agent State Law Examination 2003-10-30
  • S65 Uniform Investment Adviser Law Examination
    2008-06-19
  • S63 Uniform Securities Agent State Law Examination
    2003-10-30

View on SEC IAPD

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