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920 Cassatt Road Suite 202, Berwyn, PA 19312 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2017-09-16 |
Branch Locations
920 Cassatt Road Suite 202, Berwyn, PA 19312 • United States
515 N Main Street First Floor, Doylestown, PA 18901 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Prudential Insurance Company Of America | Chalfont | PA | 11/2013 | 01/2017 |
| Pruco Securities, Llc | Chalfont | PA | 11/2013 | 01/2017 |
| The Leaders Group Inc | Littleton | CO | 01/2017 | 08/2017 |
| Lpl Financial, Llc | Doylestown | PA | 08/2017 | Present |
| Great Valley Advisor Group, Inc. | Doylestown | PA | 08/2017 | Present |
1. 8/31/2017 - NAUTIC FINANCIAL GROUP, LLC - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - Started 3/26/2012 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - Group life, accident, critical illness, disability; individual life, accident. 2. 8/31/2017 - NAUTIC FINANCIAL GROUP, LLC - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Started 2/1/2012 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 3. 9/6/2017 - Great Valley Advisor Group, Inc. - DBA: NAUTIC FINANCIAL GROUP, LLC - Investment related - At reported business location(s) - Registered Investment Advisor DBA - start 2/1/2012 - 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 September 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. 9/6/2017 - GREAT VALLEY ADVISOR GROUP, INC. - Investment related - At reported business location(s) - Registered Investment Advisor Hybrid - start 8/31/2017 - 25 Hours Per Month/8 Hours During Securities Trading - Time spent 15% - I provide investment advisory services through Great Valley Advisor Group, Inc., an independent investment advisor firm. I started this business activity in September 2017. I expect to spend approximately 25 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. 5. 3/26/2018 - New Perspective Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 03/15/2017 - 160 Hours Per Month During Securities Trading - Individual and Group Life/Disability/Accident. 6. 4/6/2018 - New Perspective Financial Group - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 03/13/2018 - 600 Hours Per Month During Securities Trading. 7. 4/24/2018 - Great Valley Advisor Group, Inc. - DBA: McNamara Financial Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 03/12/2018 - 120 Hours Per Month During Securities Trading - I provide investment advisory services through Great Valley Advisor Group, Inc., an independent investment advisor firm. I started this business activity in Sept 2017. I expect to spend approximately 120 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. 8. 02/22/2019 - Beneco - Investment related - At reported business location(s) - Non-Variable Insurance - start date:01/07/2019 - 3 hours/mo - 3 hours during trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-05-19 |
| S63 | Uniform Securities Agent State Law Examination | 2014-03-03 |
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