JL
James N. Lavy
SIGNAL ADVISORS WEALTH
BEAVERCREEK, OH 45431
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CRD#: 1371384
JL
Professional summary
James Neal Lavy, who also goes by Jim Lavy, is a registered financial advisor currently at SIGNAL ADVISORS WEALTH, LLC located in Beavercreek, Ohio.
James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2014. James has worked at 3 firms and has passed the SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Lavy
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.
HERITAGE FINANCIAL RESOURCES POSITION: Agent NATURE: Insurance sold Life Insurance and Fixed Indexed Annuities INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 60 START DATE: 07/15/2014 ADDRESS: 4031 Colonel Glenn Highway, Suite 102, Beavercreek OH 45431, United States DESCRIPTION: Agent HERITAGE FINANCIAL RESOURCES POSITION: IAR NATURE: Heritage Financial Resources specializes in Federal Civilian Employees Benefits for education and retirement Planning. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/01/2014 ADDRESS: 4031 Colonell Glenn Hwy, Beavercreek OH 45431, United States DESCRIPTION: My wife is the owner of this company and with my experience I oversee the sales, presentations , and planning with the other agents in the company.
CRS (Client Relationship Summary) - RIA
Click below to view James Neal Lavy'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
March 27, 2025 - Present
SIGNAL ADVISORS WEALTH, LLC
Office #1: 4031 Colonel Glenn Highway Suite 131, Beavercreek, OH 45431RIA
CRD#: 301086
BEAVERCREEK, OH
Past
December 17, 2021 - March 27, 2025
AE WEALTH MANAGEMENT, LLC
RIA
CRD#: 282580
Beavercreek, OH
Past
November 3, 2014 - December 17, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
CINCINNATI, OH
Past
November 1, 2014 - December 17, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
CINCINNATI, OH
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".
SA
SIGNAL ADVISORS WEALTH, LLC
CARDINAL WEALTH MANAGEMENT LLC | TWO WATERS WEALTH MANAGEMENT | SIGNAL WEALTH | SIGNAL ADVISORS WEALTH, LLC | SECURE MONEY STRATEGIES, LLC | RETIREMENT PROTECTORS, INC. | RELIABLE WEALTH FINANCIAL GROUP | NEW SMYRNA BEACH RETIREMENT SOLUTIONS | LIONHEAD ASSET MANAGEMENT | JOURNEY WEALTH STRATEGIES | HERITAGE FINANCIAL RESOURCES WEALTH MANAGEMENT, LLC | FJ SHAW PRIVATE WEALTH | FAMILY RETIREMENT SERVICES | CASHMORE INVESTMENTS
CRD#: 301086 / SEC#: 801-127017
RIA
Registered Investment Advisory firm - (12/8/2022 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
Ohio(3/27/2025)
Exams
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SA
SIGNAL ADVISORS WEALTH, LLC
CARDINAL WEALTH MANAGEMENT LLC | TWO WATERS WEALTH MANAGEMENT | SIGNAL WEALTH | SIGNAL ADVISORS WEALTH, LLC | SECURE MONEY STRATEGIES, LLC | RETIREMENT PROTECTORS, INC. | RELIABLE WEALTH FINANCIAL GROUP | NEW SMYRNA BEACH RETIREMENT SOLUTIONS | LIONHEAD ASSET MANAGEMENT | JOURNEY WEALTH STRATEGIES | HERITAGE FINANCIAL RESOURCES WEALTH MANAGEMENT, LLC | FJ SHAW PRIVATE WEALTH | FAMILY RETIREMENT SERVICES | CASHMORE INVESTMENTS
CRD#: 301086 / SEC#: 801-127017
RIA
Registered Investment Advisory firm - (12/8/2022 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1555 Broadway St, Detroit, MI 48226
Mailing Address
Phone number
+1 (866) 774-4625
Established
Firm type
Fiscal year end
# of Employees
15
SEC notice filing (29 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,250 |
| AUM (Assets Under Management) | $ 1,352,814,108 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SIGNAL ADVISORS WEALTH, LLC
CRD#: 301086Beavercreek, OH 45431TRUST BUT VERIFY
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