AO
Andrew W. Omalley
INDEPENDENCE SQUARE HOLDINGS
King Of Prussia, PA 19406
Some features on this profile are disabled
CRD#: 2376118
AO
Professional summary
Andrew W Omalley, CFP®, who also goes by Andrew W O'malley, Andrew Wheeler O'malley, Andrew Wheeler Omalley, Andrew Wheeles Omolley, is a registered financial advisor currently at INDEPENDENCE SQUARE HOLDINGS, LLC located in King Of Prussia, Pennsylvania and LPL FINANCIAL LLC located in King Of Prussia, Pennsylvania.
Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Andrew has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Andrew W O'malley | Andrew Wheeler O'malley | Andrew Wheeler Omalley | Andrew Wheeles Omolley
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. 7/24/2020 - Independence Square Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business).
2. 7/24/2020 - Sidney Tyler Trust #7 - Investment Related - 123 S. Broad St. Philadelphia, PA - Act in a Fiduciary Capacity - Trustee - Started 1917 - 2 Hours Per Month/1 Hour During Securities Trading - Time Spent 1% - Family trust.
3. 7/24/2020 - Sidney Tyler Trust #6 - Investment Related - 123 S. Broad St. Philadelphia, PA - Act in a Fiduciary Capacity - Co-Trustee - Started 1917 - 2 Hours Per Month/1 Hours During Securities Trading - Time Spent 1% - Family trust.
4. 9/3/2020 - Independence Square Holdings, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started July 2020 - 160 Hours Per Month/8 Hours During Securities Trading - I provide investment advisory services through Independence Square Holdings, LLC, an independent investment advisor firm. I started this business activity in 07/2020. 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.
CRS (Client Relationship Summary) - RIA
Click below to view Andrew W Omalley'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®
CFP®
Start date: 2019
Experience
Current
July 27, 2020 - Present
INDEPENDENCE SQUARE HOLDINGS, LLC
Office #1: 150 South Warner Road Suite 300, King Of Prussia, PA 19406RIA
CRD#: 300139
King Of Prussia, PA
Current
July 24, 2020 - Present
LPL FINANCIAL LLC
Office #1: 150 S Warner Rd Ste 300, King Of Prussia, PA 19406-2859RIA
BD
CRD#: 6413
King Of Prussia, PA
Past
October 29, 2013 - August 3, 2020
PNC WEALTH MANAGEMENT LLC
RIA
CRD#: 129052
WILLOW GROVE, PA
Past
September 20, 2013 - August 3, 2020
PNC WEALTH MANAGEMENT LLC
BD
CRD#: 129052
WILLOW GROVE, PA
Past
February 24, 2011 - October 1, 2013
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
MALVERN, PA
Past
February 11, 2011 - February 11, 2011
MORGAN STANLEY
RIA
CRD#: 149777
PHILADELPHIA, PA
Past
June 1, 2009 - February 11, 2011
MORGAN STANLEY
BD
CRD#: 149777
PHILADELPHIA, PA
Past
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
PHILADELPHIA, PA
Past
March 24, 2006 - April 2, 2007
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PHILADELPHIA, PA
Past
October 20, 2003 - April 19, 2006
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
ST. DAVIDS, PA
Past
September 18, 1996 - October 18, 2001
JANNEY MONTGOMERY SCOTT LLC
BD
CRD#: 463
PHILADELPHIA, 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".
IS
INDEPENDENCE SQUARE HOLDINGS, LLC
BARNES LANE ADVISORS LLC | TOUEY & COMPANY | THE PLAN ADVOCATE | STRATAVEST | SCHERZER FINANCIAL | MULVANEY WEALTH MANAGEMENT | MILANEK FAMILY WEALTH MANAGEMENT, LLC | INDEPENDENCE SQUARE HOLDINGS, LLC | INDEPENDENCE SQUARE ASSET MANAGEMENT | INDEPENDENCE SQUARE ADVISORS | BRENTON STRANSKY WEALTH MANAGEMENT | BRENTON PRIVATE WEALTH ADVISORS
CRD#: 300139 / SEC#: 801-116750
RIA
Registered Investment Advisory firm - (6/7/2019 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
New Mexico(7/24/2020)
RR
Pennsylvania(7/24/2020)
IAR
Pennsylvania(7/27/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/14/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IS
INDEPENDENCE SQUARE HOLDINGS, LLC
BARNES LANE ADVISORS LLC | TOUEY & COMPANY | THE PLAN ADVOCATE | STRATAVEST | SCHERZER FINANCIAL | MULVANEY WEALTH MANAGEMENT | MILANEK FAMILY WEALTH MANAGEMENT, LLC | INDEPENDENCE SQUARE HOLDINGS, LLC | INDEPENDENCE SQUARE ASSET MANAGEMENT | INDEPENDENCE SQUARE ADVISORS | BRENTON STRANSKY WEALTH MANAGEMENT | BRENTON PRIVATE WEALTH ADVISORS
CRD#: 300139 / SEC#: 801-116750
RIA
Registered Investment Advisory firm - (6/7/2019 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
150 South Warner Road Suite 300, King Of Prussia, PA 19406
Mailing Address
Phone number
(610) 520-1500
Established
Firm type
Fiscal year end
# of Employees
37
SEC notice filing (28 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,985 |
| AUM (Assets Under Management) | $ 1,488,010,409 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
