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920 Cassatt Road Suite 202, Berwyn, PA 19312 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2022-04-28 |
Branch Locations
920 Cassatt Road Suite 202, Berwyn, PA 19312 • United States
5171 Glenwood Ave, Raleigh, NC 27612 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Raleigh | NC | 12/2011 | Present |
| Gaines Financial Group | Raleigh | NC | 12/2011 | Present |
(1) 06/28/2012: No Business Name - NON-VARIABLE INSURANCE - INV REL - At Reported Business Location(s) - LIFE INSURANCE, HEALTH, DISABILITY, LTC, ETC. - 1% TIME SPENT (2) 05/17/20 - Great Valley Advisor Group, Inc. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date - 04/07/2022 - 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 5/2022. 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.advisorinfo.sec.gov/IAPD. This firm is separate from and independent of LPL Financial. (3) 05/25/2022 - Knight Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 01/01/2016 - 160 Hours Per Month/ 8 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1998-08-13 |
| S65 | Uniform Investment Adviser Law Examination | 1998-08-11 |
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