PS
Paul A. Sartori
LEGACY FINANCIAL ADVISORS
Covington, KY 41011
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CRD#: 1321982
PS
Professional summary
Paul Anthony Sartori, who also goes by Paul A Sartori, is a registered financial advisor currently at LEGACY FINANCIAL ADVISORS, INC. located in Covington, Kentucky.
Paul is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Paul has worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Paul A Sartori
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. 4TH STREET, LLC; NOT INVESTMENT RELATED; 117 E 4TH STREET, COVINGTON KY 41011; REAL ESTATE; 33.3% OWNER; 4/2008; <1 HOUR/MONTH; RENTAL INCOME; N/A
2. APPOINTMENT WITH MULTIPLE CARRIERS; INSURANCE PRODUCT SALES; SALES AGENT; PAID DIRECT BY THE CARRIERS COMPENSATION VARIES YEAR BY YEAR; PRODUCT SALES AGENT
3. JOAN DANIELS TRUST; TRUSTEE; 1993; 1 HR/ MONTH; NOT COMPENSATED
4. JAMES SORRELL TRUST;CASH ACCOUNT; SOLE TRUSTEE; 1/8/2010; 1 HR/MONTH; NOT COMPENSATED; MANAGE DISTRIBUTION OF FUNDS AND ALL OTHER FUNCTIONS AS A TRUSTEE
5.Legacy Financial Advisors;investment related;117 E. 4th Street,Covington,KY 41011;wealth management;principal;2008;160 hrs/month;6.5 hrs during trading;administrative,service,sales
6)Bridge Partners,USA;not investment related;117 E. 4th Street,Covington,KY 41094;insurance solution for advisors;owner 33.3%;3/30/2017;1-5 hrs/month;<1 hr during trading;build pipelines with other RIA firms or insurance shops,offer Bridge Partners as an insurance solution to their insurance needs.
7)Financial Fitness Powered by Legacy,LLC;not investment related;117 E 4th Street,Covington,KY 41011;education;16% owner;11/1/2020;2-3 hrs/month;<1 hr during trading;refer program to companies
CRS (Client Relationship Summary) - RIA
Click below to view Paul Anthony Sartori's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 20, 2011 - Present
LEGACY FINANCIAL ADVISORS, INC.
Office #1: 117 East Fourth Street, Covington, KY 41011RIA
CRD#: 158675
Covington, KY
Past
August 31, 2011 - September 22, 2022
TRIAD ADVISORS LLC
BD
CRD#: 25803
COVINGTON, KY
Past
August 5, 2005 - September 20, 2011
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
COVINGTON, KY
Past
August 5, 2005 - September 20, 2011
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
COVINGTON, KY
Past
January 1, 2000 - August 9, 2005
OSAIC FA, INC.
RIA
CRD#: 3978
COVINGTON, KY
Past
October 1, 1999 - August 9, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
June 1, 1998 - August 9, 2005
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
Past
August 16, 1985 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
RADNOR, PA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LF
LEGACY FINANCIAL ADVISORS, INC.
LEGACY FINANCIAL ADVISORS, INC.
CRD#: 158675 / SEC#: 801-72637
RIA
Registered Investment Advisory firm - (8/2/2011 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Kentucky(9/20/2011)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
LF
LEGACY FINANCIAL ADVISORS, INC.
LEGACY FINANCIAL ADVISORS, INC.
CRD#: 158675 / SEC#: 801-72637
RIA
Registered Investment Advisory firm - (8/2/2011 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
117 East Fourth Street, Covington, KY 41011
Mailing Address
Phone number
(859) 655-5225
Established
Firm type
Fiscal year end
# of Employees
21
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,515 |
| AUM (Assets Under Management) | $ 1,255,617,352 |
Red Flags
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Company Information
LEGACY FINANCIAL ADVISORS, INC.
CRD#: 158675Covington, KY 41011TRUST BUT VERIFY
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Contact information
xxxxx@xxxx.xxx
