Richard S. Wiedl

LEGACY ADVISORY SERVICES

Exton, PA 19341

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CRD#: 2957396

Professional summary

Richard Stephen Wiedl, CFP® is a registered financial advisor currently at LEGACY ADVISORY SERVICES, LLC located in Exton, Pennsylvania and FORTUNE FINANCIAL SERVICES, INC. located in Exton, Pennsylvania.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Richard has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 6, Series 4, Series 53, Series 27 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

LEGACY ADVISORY SERVICES- RIA LOCATED AT THE SAME LOCATION AS BRANCH OFFICE. OFFICER - PROVIDE FINANCIAL PLANNING AND INVESTMENT SERVICES FOR CLIENT ACCTS. -10% OF ANNL COMP FROM THIS ACTIVITY APPROX. $30K- FORM ADV ON FILE

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Stephen Wiedl's CRS (Customer Relationship Summary).

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^®

Certified Financial Planner

Start date: 2012

Experience

Current

June 24, 2008 - Present

LEGACY ADVISORY SERVICES, LLC

Office #1: 658 Exton Commons, Exton, PA 19341

RIA

CRD#: 147173

Exton, PA

Current

March 2, 2016 - Present

FORTUNE FINANCIAL SERVICES, INC.

Office #1: 658 Exton Commons, Exton, PA 19341

CRD#: 42150

Exton, PA

Past

February 23, 2009 - March 11, 2016

RIDGEWAY & CONGER, INC.

CRD#: 113055

EXTON, PA

Past

December 26, 2008 - February 13, 2009

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

February 1, 2008 - January 23, 2009

EPLANNING SECURITIES, INC.

CRD#: 46000

EXTON, PA

Past

February 3, 2006 - February 6, 2008

HERITAGE ADVISORY SERVICES, INC.

RIA

CRD#: 119241

EXTON, PA

Past

March 16, 2005 - January 17, 2008

HERITAGE FINANCIAL SYSTEMS, LLC

CRD#: 133019

MALVERN, PA

Past

April 5, 2002 - March 4, 2005

EPLANNING SECURITIES, INC.

CRD#: 46000

ROSEVILLE, CA

Past

May 11, 1998 - October 3, 2001

SEI INVESTMENTS DISTRIBUTION CO.

CRD#: 10690

OAKS, PA

Past

October 21, 1997 - September 8, 1998

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

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".

LEGACY ADVISORY SERVICES, LLC

CRD#: 147173 / SEC#: 801-128187

RIA

Registered Investment Advisory firm - (6/16/2023 Approved)

Pennsylvania

Registered Investment Advisory firm - (6/23/2023 Terminated)

West Virginia

Registered Investment Advisory firm - (6/23/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Colorado
(6/15/2023)

Florida
(7/26/2022)

Illinois
(4/12/2024)

Maine
(7/18/2022)

New York
(3/2/2016)

Oregon
(5/13/2020)

IAR

Pennsylvania
(6/24/2008)

Pennsylvania
(3/2/2016)

South Carolina
(9/2/2020)

Virginia
(6/21/2018)

West Virginia
(3/2/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/2/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/5/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/15/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/20/1997

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 4

Date: 3/14/2006

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 12/7/2004

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 4/9/2004

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/19/2004

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

LEGACY ADVISORY SERVICES, LLC

CRD#: 147173 / SEC#: 801-128187

RIA

Registered Investment Advisory firm - (6/16/2023 Approved)

Pennsylvania

Registered Investment Advisory firm - (6/23/2023 Terminated)

West Virginia

Registered Investment Advisory firm - (6/23/2023 Terminated)

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Contact information

Main Address

658 Exton Commons, Exton, PA 19341

Mailing Address

Phone number

(610) 524-6801

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LEGACY ADVISORY SERVICES, LLC (3/14/2025)

Regulatory assets under management

Total Number of Accounts	322
AUM (Assets Under Management)	$ 142,377,612

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.

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Advisor Monitoring

Firm Stability Insights

Richard S. Wiedl

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Stephen Wiedl's CRS (Customer Relationship Summary).

Certified licenses

Experience

FORTUNE FINANCIAL SERVICES, INC.

RIDGEWAY & CONGER, INC.

SECURITIES AMERICA, INC.

EPLANNING SECURITIES, INC.

HERITAGE ADVISORY SERVICES, INC.

HERITAGE FINANCIAL SYSTEMS, LLC

EPLANNING SECURITIES, INC.

SEI INVESTMENTS DISTRIBUTION CO.

WALNUT STREET SECURITIES, INC.

Primary Firm SEC Registration

LEGACY ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/2/2006

Series 63

Date: 11/5/1997

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 2/15/2000

Series 6

Date: 10/20/1997

Series 4

Date: 3/14/2006

Series 53

Date: 12/7/2004

Series 27

Date: 4/9/2004

Series 24

Date: 1/19/2004

FINRA

Current Firm

LEGACY ADVISORY SERVICES, LLC

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LEGACY ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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