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Current Employers
Legacy Advisors, Llc

5 Apollo Road, Suite 100, Plymouth Meeting, PA 19462 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2011-10-05
  • PA RA
    APPROVED
    Since 2011-10-05

Branch Locations

5 Apollo Road, Suite 100, Plymouth Meeting, PA 19462 • 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
Legacy Advisors, Llc Plymouth Mtg PA 01/2011 Present
M Holdings Securities,Inc. Portland OR 02/2011 Present
  • 01/2011 → Present
    Plymouth Mtg, PA
  • 02/2011 → Present
    M Holdings Securities,Inc.
    Portland, OR
Previous Registrations
  • 2007-11-13 → 2011-01-25
    New England Securities
    Newtown Square, PA
Other Businesses

1) LEGACY ADVISORS, LLC; 401 PLYMOUTH ROAD, SUITE 150, PLYMOUTH MEETING, PA 19462; 01/24/2011; RETIREMENT PLAN SERVICES ADVISOR; PROVIDE INVESTMENT AND/OR FINANCIAL PLANNING ADVICE/SERVICES TO CLIENTS; INVESTMENT RELATED; 200 HOURS/MONTH; 200 HOURS/MONTH DURING BUSINESS HOURS; WAGES, SALARY, TIPS. 2) M. Holdings Securities, Inc., Portland, OR; Investment-Related; Position: Registered Representative, Start: 2/2011; 40 hrs per week during trading hours; Securities Sales. 3) The Legacy Foundation, Portland, OR; Non-Profit/Non-investment Related; Position: Search Committee Member (non-compensated position); 5 hrs per month during trading hours. 4) Independent, Portland, OR; Investment-Related; Position: Private Placement sales; 1 hr per week during trading hours. 5) MIGNOGNA FAMILY, LLC; 3 LEGENDS LANE, MANTUA, NJ 08051; 01/01/2016; PRESIDENT; DUTIES REGARDING OWNING A RENTAL PROPERTY; NOT INVESTMENT RELATED; 2 HOURS/MONTH; 0 HOURS/MONTH DURING BUSINESS HOURS; RENTAL INCOME 6) Legacy Advisors; 5 Apollo Road Plymouth Meeting, PA 19462; Member Firm Affiliation; Investment Related; Retirement Plan Services Advisor; Advisory Services to Retirement Plan Sponsors And Individual Investors; 01/01/2011; 160 hours per month; 160 hours per month during trading hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-10-26
  • S66 Uniform Combined State Law Examination
    2007-10-26
Other Names
  • Steve P Mignogna
  • Steven P. Mignogna
  • Steve Paul Mignogna

View on SEC IAPD

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