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920 Cassatt Road Suite 202, Berwyn, PA 19312 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2023-12-12 |
| WI | RA | APPROVED | 2017-11-17 |
Branch Locations
325 N Corporate Drive Suite 120, Brookfield, WI 53045 • 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 |
|---|---|---|---|---|
| Pruco Securities ,Llc | Brookfield | WI | 01/2001 | 10/2017 |
| The Prudential Insurance Company Of America | Brookfield | WI | 01/2001 | 10/2017 |
| Lpl Financial Llc | Brookfield | WI | 10/2017 | Present |
| Great Valley Advisor Group, Inc. | Brookfield | WI | 10/2017 | Present |
1)10/13/17- GREAT VALLEY ADVISOR GROUP- DBA for LPL Business (entity for LPL business)- Inv. Related- Brookfield, WI - 90% 2)10/13/17- NEXT LEVEL PLANNING AND WEALTH MANAGEMENT- DBA for LPL Business (entity for LPL business)- Inv. Related- Brookfield, WI - 100%. 3) 10/17/2017 - GREAT VALLEY ADVISOR GROUP, INC. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 4/28/2017 - 160 Hours Per Month/40 Hours During Securities Trading - Time Spent 90% - I provide investment advisory services through Great Valley Advisor Group, Inc., an independent investment advisor firm. I started this business activity in October 2017. 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.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4) 10/17/2017 - GREAT VALLEY ADVISOR GROUP, INC. - DBA: NEXT LEVEL PLANNING AND WEALTH MANAGEMENT - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 4/28/2017 - 160 Hours Per Month/8 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 October 2017. 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.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-03-01 |
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