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RS

Robert C. Scroggins

LEGACY FINANCIAL ADVISORS
CINCINNATI, OH 45246
Some features on this profile are disabled
CRD#: 4929045
RS

Professional summary

Robert Clayton Scroggins is a registered financial advisor currently at LEGACY FINANCIAL ADVISORS, INC. located in Cincinnati, Ohio.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Robert has worked at 3 firms and has passed the Series 66, SIE and Series 7 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Clayton Scroggins'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®
None

Experience

Current

September 1, 2011 - Present

LEGACY FINANCIAL ADVISORS, INC.

Office #1: 200 Northland Blvd, Cincinnati, OH 45246
RIA
CRD#: 158675
CINCINNATI, OH
Past

September 22, 2011 - March 16, 2022

TRIAD ADVISORS LLC

BD
CRD#: 25803
ATLANTA, GA
Past

February 15, 2006 - September 20, 2011

KESTRA INVESTMENT SERVICES, LLC

RIA
CRD#: 42046
CINCINNATI, OH
Past

January 1, 2006 - September 20, 2011

KESTRA INVESTMENT SERVICES, LLC

BD
CRD#: 42046
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".
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
Ohio
(9/1/2011)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/14/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/21/2005
General Securities Representative Examination

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)
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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 (14 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

LEGACY FINANCIAL ADVISORS BROCHURE (3/12/2025)

Regulatory assets under management

Total Number of Accounts3,515
AUM (Assets Under Management)$ 1,255,617,352

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.

Company Information

LEGACY FINANCIAL ADVISORS, INC.

CRD#: 158675Cincinnati, OH 45246

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