TO
Therese M. O'connell
GREAT VALLEY ADVISOR GROUP
Newtown, PA 18940
Some features on this profile are disabled
CRD#: 4763944
TO
Professional summary
Therese Michelle O'connell, who also goes by Therese Michelle Augustine, is a registered financial advisor currently at GREAT VALLEY ADVISOR GROUP, LLC located in Newtown, Pennsylvania and LPL FINANCIAL LLC located in Newtown, Pennsylvania.
Therese is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Therese has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Therese Michelle Augustine
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. 02/27/2017 - THE CAPITAL LEGACY, LLC - DBA for LPL Business entity for LPL business) - inv rel - at reported business location(s) - start: 3/1/2017 - 160 hr/mth 2. 02/27/2017 - Non-Variable Insurance - inv rel - sells: PERMANENT, TERM AND FIXED UNIVERSAL LIFE, DISABILITY - start: 12/1/2005 - 40 hr/mth. 3. 3/1/2017 - GREAT VALLEY ADVISOR GROUP, INC. - DBA: THE CAPITAL LEGACY, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 3/1/2017 - 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 March 2017. 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. 4. 3/1/2017 - GREAT VALLEY ADVISOR GROUP, INC. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 3/1/2017 - 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 March 2017. 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. 5. 4/4/2019 - Female Financial Planning in Bucks County - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 03/15/2019 - 8 Hours Per Month/8 Hours During Securities Trading. 6. 3/17/2020 - No Business Name - Not Investment Related - Neshaminy High School, 2001 Old Lincoln Hwy, Langhorne, PA 19047 - Other-Coach - Started 03/16/2020 - 10 Hours Per Month/4 Hours During Securities Trading - Girls High School Lacrosse Coach. 7. 4/12/2021 �?" Formation Financial �?" Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 4/7/2021 - 120 Hours Per Month/120 Hours During Securities Trading. 8. 01/08/2024 - Formation Financial - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start Date 12/19/2023 - 80 Hours Per Month/ During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Therese Michelle O'connell'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
February 27, 2017 - Present
GREAT VALLEY ADVISOR GROUP, LLC
Office #1: 780 Newtown Yardley Rd #310, Newtown, PA 18940RIA
CRD#: 123913
Newtown, PA
Current
February 27, 2017 - Present
LPL FINANCIAL LLC
Office #1: 780 Newtown Yardley Rd Ste 310 New Town Office Park, Newtown, PA 18940RIA
BD
CRD#: 6413
NEWTOWN, PA
Past
March 14, 2019 - March 31, 2020
LPL FINANCIAL LLC
RIA
CRD#: 6413
TUCSON, AZ
Past
May 13, 2009 - March 2, 2017
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
BENSALEM, PA
Past
May 12, 2009 - March 2, 2017
SECURITIES AMERICA, INC.
BD
CRD#: 10205
BENSALEM, PA
Past
January 24, 2006 - May 12, 2009
CINCINNATI ANALYSTS, INC.
RIA
CRD#: 5478
BENSALEM, PA
Past
April 25, 2005 - May 12, 2009
CINCINNATI ANALYSTS, INC.
BD
CRD#: 5478
BENSALEM, 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".
GV
GREAT VALLEY ADVISOR GROUP, LLC
AFFIRMATIVE WEALTH PARTNERS | WOITA & ASSOCIATES | WILLOW RIVER WEALTH MANAGEMENT | WEDDINGTON ADVISORS | WEALTH RIDGE PLANNING | WAITE WEALTH MANAGEMENT | VALOR ASSET MANAGEMENT OF GREAT VALLEY ADVISOR GROUP | VALOR ASSET MANAGEMENT | US WEALTH ROPELEWSKI | US WEALTH QUIRK | US WEALTH OMAN | US WEALTH MANAGEMENT NEWPORT | US WEALTH MANAGEMENT NEW HAVEN | US WEALTH MANAGEMENT | US WEALTH HOWE | US WEALTH FARMINGTON VALLEY | US WEALTH CRAWFORD | US WEALTH CLARKE | US WEALTH BRAINTREE | UNION ADVISORS | U ADVISORS | TWO RIVERS WEALTH MANAGEMENT | TREND WISE WEALTH | TREASURE COAST WEALTH | THOMPSON FINANCIAL | THE RIDGEVIEW GROUP WEALTH MANAGEMENT | THE READY GROUP | THE NEXT LEVEL PLANNING & WEALTH MANAGEMENT | THE CAPITAL LEGACY, LLC | SWAN WEALTH MANAGEMENT GROUP, INC. | STRAIGHT FORWARD FINANCIAL | STONECREEK WEALTH MANAGEMENT | STONECREEK FINANCIAL | STONEBRIDGE WEALTH MANAGEMENT | SMILER FINANCIAL | SIMPLIFIED FINANCIAL LLC | SENTIENT WEALTH GROUP | SAPPHIRE WEALTH ADVISORY, INC. | SALT FINANCIAL, LLC | SALT FINANCIAL GROUP LLC | ROSENAU FINANCIAL ADVISORS | ROPE FINANCIAL | ROCK ISLAND FINANCIAL | PURSUIT WEALTH MANAGEMENT | PRESTIGE WEALTH PARTNERS LLC | PETERS FINANCIAL PLANNING CORPORATION | PEAKHAVEN ASSET MANAGEMENT | PARAGON WEALTH MANAGEMENT | P.M.A WEALTH MANAGEMENT | OPULENCE WEALTH MANAGEMENT | OPTIMAL WEALTH SERVICES | OC WEALTH MANAGEMENT, INC. | OAKPOINT WEALTH MANAGEMENT | NORTH POINT ADVISOR GROUP | NEXA FINANCIAL GROUP | NEW PERSPECTIVE FINANCIAL GROUP | NAUTIC FINANCIAL GROUP, LLC. | MILLSTONE WEALTH MANAGEMENT | MERIDIAN RETIREMENT PLANNING SERVICES | MERIDIAN FINANCIAL SERVICES | MDA WEALTH MANAGEMENT | MARON FINANCIAL SOLUTIONS | KNIGHT WEALTH MANAGEMENT, INC. | KAVE FAMILY FINANCIAL | KARP FINANCIAL SERVICES INC. | JUPITER WEALTH PLANNING | JERVEY GENESIS WEALTH MANAGEMENT SOLUTIONS | JEFFRUB WEALTH MANAGEMENT | J W JOSEPHS FINANCIAL | INNOVATIVE PLANNING GROUP - IPG | HART WEALTH MANAGEMENT | HARDING CAPITAL MANAGEMENT, LLC | HAAS FINANCIAL GROUP | GVA WEALTH MANAGEMENT | GVA RETIREMENT PARTNERS | GVA ASSET MANAGEMENT | GRIFFITHS FINANCIAL SERVICES | GREAT VALLEY WEALTH MANAGEMENT | GREAT VALLEY ADVISORS RETIREMENT PARTNERS | GREAT VALLEY ADVISORS 401K CONSULTING | GREAT VALLEY ADVISOR GROUP, LLC | GREAT VALLEY ADVISOR GROUP, INC. | GREAT VALLEY ADVISOR GROUP | GORNITZKY SAGE WEALTH MANAGEMENT GROUP, INC. | GAINES FINANCIAL GROUP | FORMATION FINANCIAL | FLEISCHAUER FINANCIAL MANAGEMENT, INC. | FITCH AND STRONG GROUP | FIRST LIGHT FINANCIAL | ENDEAVR WEALTH PLANNING | DSB ROCK ISLAND WEALTH MANAGEMENT, LLC. | DOYLESTOWN WEALTH MANAGEMENT, INC. | DOWNINGTOWN FINANCIAL | DIVERSIFIED WEALTH MANAGEMENT OF OK, LLC | COVINGTON ALSINA | CORNERSTONE PORTFOLIOS, LLC | CONSILIUM PRIVATE WEALTH | CLINTON WEALTH MANAGEMENT | CLEAR WEALTH PLANNING SOLUTIONS | CHRIS SMITH WEALTH MANAGEMENT | CHEW FINANCIAL GROUP | CHESTER SPRINGS FINANCIAL GROUP, LLC | CHESAPEAKE FINANCIAL PARTNERS | CAPPY'S FINANCIAL PLANNING LLC | CAPELLA WEALTH MANAGEMENT | BOYAR WEALTH MANAGEMENT, INC. | BLOSSOM FINANCIAL | BIG HORN FINANCIAL SERVICES, LLC | BEYOND WEALTH FINANCIAL ADVISORS | BERNICKE WEALTH MANAGEMENT - WOODBURY | BERNICKE WEALTH MANAGEMENT | BAY STREET WEALTH PARTNERS | BAVIELLO INVESTMENT MANAGEMENT | BANTZ FINANCIAL GROUP | BALANCED INVESTMENT STRATEGIES, INC. | ARTHUR LEA INVESTMENTS | AMERICAN WEALTH EXECUTIVES, LLC | AMERICAN WEALTH EXECUTIVES LLC | ALLIANCE WEALTH MANAGEMENT, INC. | ALLEN FINANCIAL SERVICES | ALAN PETER & ASSOCIATES
CRD#: 123913 / SEC#: 801-72270
RIA
Registered Investment Advisory firm - (4/8/2011 Approved)Delaware
Registered Investment Advisory firm - (4/12/2011 Terminated)Maryland
Registered Investment Advisory firm - (5/20/2011 Terminated)New Jersey
Registered Investment Advisory firm - (4/13/2011 Terminated)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
Alabama(8/8/2023)
RR
Arizona(9/14/2021)
IAR
Arizona(9/21/2021)
RR
California(10/19/2021)
RR
Colorado(12/23/2019)
RR
Connecticut(11/26/2021)
RR
Delaware(8/20/2019)
RR
Florida(9/14/2021)
RR
Georgia(12/23/2019)
RR
Hawaii(1/2/2025)
RR
Indiana(6/15/2023)
RR
Kansas(2/20/2024)
RR
Louisiana(11/17/2022)
RR
Maine(11/26/2021)
RR
Maryland(12/21/2023)
RR
Massachusetts(11/29/2021)
RR
Montana(1/30/2023)
RR
New Jersey(2/27/2017)
RR
New York(11/26/2021)
RR
North Carolina(1/31/2023)
RR
Ohio(3/14/2019)
RR
Pennsylvania(2/27/2017)
IAR
Pennsylvania(2/27/2017)
RR
Texas(8/22/2023)
RR
Utah(9/14/2021)
RR
Vermont(11/26/2021)
RR
Virginia(1/19/2023)
RR
Washington(5/11/2023)
RR
Wisconsin(1/18/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
GV
GREAT VALLEY ADVISOR GROUP, LLC
AFFIRMATIVE WEALTH PARTNERS | WOITA & ASSOCIATES | WILLOW RIVER WEALTH MANAGEMENT | WEDDINGTON ADVISORS | WEALTH RIDGE PLANNING | WAITE WEALTH MANAGEMENT | VALOR ASSET MANAGEMENT OF GREAT VALLEY ADVISOR GROUP | VALOR ASSET MANAGEMENT | US WEALTH ROPELEWSKI | US WEALTH QUIRK | US WEALTH OMAN | US WEALTH MANAGEMENT NEWPORT | US WEALTH MANAGEMENT NEW HAVEN | US WEALTH MANAGEMENT | US WEALTH HOWE | US WEALTH FARMINGTON VALLEY | US WEALTH CRAWFORD | US WEALTH CLARKE | US WEALTH BRAINTREE | UNION ADVISORS | U ADVISORS | TWO RIVERS WEALTH MANAGEMENT | TREND WISE WEALTH | TREASURE COAST WEALTH | THOMPSON FINANCIAL | THE RIDGEVIEW GROUP WEALTH MANAGEMENT | THE READY GROUP | THE NEXT LEVEL PLANNING & WEALTH MANAGEMENT | THE CAPITAL LEGACY, LLC | SWAN WEALTH MANAGEMENT GROUP, INC. | STRAIGHT FORWARD FINANCIAL | STONECREEK WEALTH MANAGEMENT | STONECREEK FINANCIAL | STONEBRIDGE WEALTH MANAGEMENT | SMILER FINANCIAL | SIMPLIFIED FINANCIAL LLC | SENTIENT WEALTH GROUP | SAPPHIRE WEALTH ADVISORY, INC. | SALT FINANCIAL, LLC | SALT FINANCIAL GROUP LLC | ROSENAU FINANCIAL ADVISORS | ROPE FINANCIAL | ROCK ISLAND FINANCIAL | PURSUIT WEALTH MANAGEMENT | PRESTIGE WEALTH PARTNERS LLC | PETERS FINANCIAL PLANNING CORPORATION | PEAKHAVEN ASSET MANAGEMENT | PARAGON WEALTH MANAGEMENT | P.M.A WEALTH MANAGEMENT | OPULENCE WEALTH MANAGEMENT | OPTIMAL WEALTH SERVICES | OC WEALTH MANAGEMENT, INC. | OAKPOINT WEALTH MANAGEMENT | NORTH POINT ADVISOR GROUP | NEXA FINANCIAL GROUP | NEW PERSPECTIVE FINANCIAL GROUP | NAUTIC FINANCIAL GROUP, LLC. | MILLSTONE WEALTH MANAGEMENT | MERIDIAN RETIREMENT PLANNING SERVICES | MERIDIAN FINANCIAL SERVICES | MDA WEALTH MANAGEMENT | MARON FINANCIAL SOLUTIONS | KNIGHT WEALTH MANAGEMENT, INC. | KAVE FAMILY FINANCIAL | KARP FINANCIAL SERVICES INC. | JUPITER WEALTH PLANNING | JERVEY GENESIS WEALTH MANAGEMENT SOLUTIONS | JEFFRUB WEALTH MANAGEMENT | J W JOSEPHS FINANCIAL | INNOVATIVE PLANNING GROUP - IPG | HART WEALTH MANAGEMENT | HARDING CAPITAL MANAGEMENT, LLC | HAAS FINANCIAL GROUP | GVA WEALTH MANAGEMENT | GVA RETIREMENT PARTNERS | GVA ASSET MANAGEMENT | GRIFFITHS FINANCIAL SERVICES | GREAT VALLEY WEALTH MANAGEMENT | GREAT VALLEY ADVISORS RETIREMENT PARTNERS | GREAT VALLEY ADVISORS 401K CONSULTING | GREAT VALLEY ADVISOR GROUP, LLC | GREAT VALLEY ADVISOR GROUP, INC. | GREAT VALLEY ADVISOR GROUP | GORNITZKY SAGE WEALTH MANAGEMENT GROUP, INC. | GAINES FINANCIAL GROUP | FORMATION FINANCIAL | FLEISCHAUER FINANCIAL MANAGEMENT, INC. | FITCH AND STRONG GROUP | FIRST LIGHT FINANCIAL | ENDEAVR WEALTH PLANNING | DSB ROCK ISLAND WEALTH MANAGEMENT, LLC. | DOYLESTOWN WEALTH MANAGEMENT, INC. | DOWNINGTOWN FINANCIAL | DIVERSIFIED WEALTH MANAGEMENT OF OK, LLC | COVINGTON ALSINA | CORNERSTONE PORTFOLIOS, LLC | CONSILIUM PRIVATE WEALTH | CLINTON WEALTH MANAGEMENT | CLEAR WEALTH PLANNING SOLUTIONS | CHRIS SMITH WEALTH MANAGEMENT | CHEW FINANCIAL GROUP | CHESTER SPRINGS FINANCIAL GROUP, LLC | CHESAPEAKE FINANCIAL PARTNERS | CAPPY'S FINANCIAL PLANNING LLC | CAPELLA WEALTH MANAGEMENT | BOYAR WEALTH MANAGEMENT, INC. | BLOSSOM FINANCIAL | BIG HORN FINANCIAL SERVICES, LLC | BEYOND WEALTH FINANCIAL ADVISORS | BERNICKE WEALTH MANAGEMENT - WOODBURY | BERNICKE WEALTH MANAGEMENT | BAY STREET WEALTH PARTNERS | BAVIELLO INVESTMENT MANAGEMENT | BANTZ FINANCIAL GROUP | BALANCED INVESTMENT STRATEGIES, INC. | ARTHUR LEA INVESTMENTS | AMERICAN WEALTH EXECUTIVES, LLC | AMERICAN WEALTH EXECUTIVES LLC | ALLIANCE WEALTH MANAGEMENT, INC. | ALLEN FINANCIAL SERVICES | ALAN PETER & ASSOCIATES
CRD#: 123913 / SEC#: 801-72270
RIA
Registered Investment Advisory firm - (4/8/2011 Approved)Delaware
Registered Investment Advisory firm - (4/12/2011 Terminated)Maryland
Registered Investment Advisory firm - (5/20/2011 Terminated)New Jersey
Registered Investment Advisory firm - (4/13/2011 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1200 Pennsylvania Ave Suite 202, Wilmington, DE 19806
Mailing Address
Phone number
(302) 483-7200
Established
Firm type
Fiscal year end
# of Employees
333
SEC notice filing (49 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 33,099 |
| AUM (Assets Under Management) | $ 9,732,148,499 |
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.
