Gregory M. Carrico

LEGACY WEALTH ADVISORS

Clinton Township, MI 48038

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CRD#: 5266398

Professional summary

Gregory M Carrico, who also goes by Greg Carrico, is a registered financial advisor currently at LEGACY WEALTH ADVISORS, LLC located in Clinton Township, Michigan.

Gregory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Gregory has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Greg Carrico

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.

CONTOUR INSURANCE SOLUTIONS; INVESTMENT RELATED; CLINTON TOWNSHIP, MI 48038; INSURANCE PRODUCTS ANDSERVICES; PRESIDENT/INSURANCE AGENT; 8HRS/8HRS; SALES OF INSURANCE PRODUCTS AND SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory M Carrico'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

January 30, 2017 - Present

LEGACY WEALTH ADVISORS, LLC

Office #1: 41700 Hayes Road Suite A, Clinton Township, MI 48038

RIA

CRD#: 281810

Clinton Township, MI

Past

January 6, 2016 - December 31, 2016

LEGACY WEALTH ADVISORS, LLC

RIA

CRD#: 281810

CLINTON TOWNSHIP, MI

Past

November 21, 2013 - January 5, 2016

LEGEND ADVISORY, LLC

RIA

CRD#: 104761

ROYAL OAK, MI

Past

August 5, 2013 - January 5, 2016

LEGEND EQUITIES CORPORATION

CRD#: 30999

Royal Oak, MI

Past

January 3, 2013 - July 26, 2013

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

February 7, 2012 - January 3, 2013

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, CT

Past

October 7, 2009 - January 11, 2012

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

STERLING HEIGHTS, MI

Past

January 1, 2007 - August 22, 2008

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

STERLING HEIGHTS, MI

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 WEALTH ADVISORS, LLC

CRD#: 281810 / SEC#: 801-132330

RIA

Registered Investment Advisory firm - (4/4/2025 Approved)

Michigan

Registered Investment Advisory firm - (4/11/2025 Terminated)

Texas

Registered Investment Advisory firm - (11/12/2024 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.

Highlighted states indicate IAR registrations

IAR

Michigan
(1/30/2017)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/19/2013

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/10/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/5/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 12/27/2006

Investment Company Products/Variable Contracts Representative Examination

Current Firm

LEGACY WEALTH ADVISORS, LLC

CRD#: 281810 / SEC#: 801-132330

RIA

Registered Investment Advisory firm - (4/4/2025 Approved)

Michigan

Registered Investment Advisory firm - (4/11/2025 Terminated)

Texas

Registered Investment Advisory firm - (11/12/2024 Terminated)

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Contact information

Main Address

41700 Hayes Road Suite A, Clinton Township, MI 48038

Mailing Address

Phone number

(586) 273-0072

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A & 2B SEC (3/5/2025)

LEGACY WEALTH ADVISORS, ADV PART 2 (3/5/2025)

Regulatory assets under management

Total Number of Accounts	523
AUM (Assets Under Management)	$ 102,802,197

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

Gregory M. Carrico

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gregory M Carrico's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEGACY WEALTH ADVISORS, LLC

LEGEND ADVISORY, LLC

LEGEND EQUITIES CORPORATION

PRUCO SECURITIES, LLC.

HIMCO DISTRIBUTION SERVICES COMPANY

VOYA FINANCIAL ADVISORS, INC.

CHASE INVESTMENT SERVICES CORP.

Primary Firm SEC Registration

LEGACY WEALTH ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/19/2013

Series 63

Date: 1/10/2007

SIE

Date: 1/5/2016

Series 6

Date: 12/27/2006

Current Firm

LEGACY WEALTH ADVISORS, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LEGACY WEALTH ADVISORS, LLC

TRUST BUT VERIFY

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