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Current Employers
Great Valley Advisor Group, Llc

920 Cassatt Road Suite 202, Berwyn, PA 19312 • United States

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2017-11-17
  • WI RA
    APPROVED
    Since 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

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
Fleming Financial Group Llc Brookfield WI 05/2015 09/2017
Pruco Securities Llc Brookfield WI 05/2015 09/2017
Lpl Financial Llc Brookfield WI 09/2017 Present
Great Valley Advisor Group, Inc. Brookfield WI 10/2017 Present
  • 05/2015 → 09/2017
    Fleming Financial Group Llc
    Brookfield, WI
  • 05/2015 → 09/2017
    Brookfield, WI
  • 09/2017 → Present
    Lpl Financial Llc
    Brookfield, WI
  • 10/2017 → Present
    Great Valley Advisor Group, Inc.
    Brookfield, WI
Previous Registrations
Other Businesses

1) 09/07/2017 - Next Level Planning & Wealth Management - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 9/2017 - 160 hr/mth 2) 10/17/2017 - Great Valley Advisor Group, Inc. - DBA: Next Level Planning & Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 09/08/2017 - 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. 3) 10/17/2017 - Great Valley Advisor Group, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 09/08/2017 - 150 Hours Per Month/8 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 150 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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2013-01-07
S63 Uniform Securities Agent State Law Examination 2010-12-22
  • S65 Uniform Investment Adviser Law Examination
    2013-01-07
  • S63 Uniform Securities Agent State Law Examination
    2010-12-22

View on SEC IAPD

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