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117 East Fourth Street, Covington, KY 41011 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| KY | RA | APPROVED | 2025-01-01 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Vanguard Group, Inc. | Scottsdale | AZ | 07/2018 | 03/2021 |
| Jimmy John's | Cincinnati | OH | 01/2016 | 06/2018 |
| University Of Cincinnati | Cincinnati | OH | 01/2016 | 04/2018 |
| Triad Advisors | Norcross | GA | 05/2021 | Present |
| Legacy Financial Advisors | Covington | KY | 03/2021 | Present |
1)Legacy Financial Advisors,Inc;investment related;117 E 4th Street,Covington,KY 41011;financial advisory services;investment trader/paraplanner;5/2021;40 hrs/month;6 hrs during trading;assist director of investment in trading duties and assist advisors in paraplanning duties
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-03-18 |
| S63 | Uniform Securities Agent State Law Examination | 2018-09-25 |
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