SM
Steven P. Mignogna
LEGACY ADVISORS
Plymouth Meeting, PA 19462
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CRD#: 5421485
SM
Professional summary
Steven Paul Mignogna, AIF®, CFP®, who also goes by Steve P Mignogna, Steve Paul Mignogna, Steven P. Mignogna, is a registered financial advisor currently at LEGACY ADVISORS, LLC located in Plymouth Meeting, Pennsylvania and M HOLDINGS SECURITIES, INC. located in Plymouth Meeting, Pennsylvania.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Steven has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve P Mignogna | Steve Paul Mignogna | Steven P. Mignogna
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) LEGACY ADVISORS, LLC; 401 PLYMOUTH ROAD, SUITE 150, PLYMOUTH MEETING, PA 19462; 01/24/2011; RETIREMENT PLAN SERVICES ADVISOR; PROVIDE INVESTMENT AND/OR FINANCIAL PLANNING ADVICE/SERVICES TO CLIENTS; INVESTMENT RELATED; 200 HOURS/MONTH; 200 HOURS/MONTH DURING BUSINESS HOURS; WAGES, SALARY, TIPS. 2) M. Holdings Securities, Inc., Portland, OR; Investment-Related; Position: Registered Representative, Start: 2/2011; 40 hrs per week during trading hours; Securities Sales. 3) The Legacy Foundation, Portland, OR; Non-Profit/Non-investment Related; Position: Search Committee Member (non-compensated position); 5 hrs per month during trading hours. 4) Independent, Portland, OR; Investment-Related; Position: Private Placement sales; 1 hr per week during trading hours. 5) MIGNOGNA FAMILY, LLC; 3 LEGENDS LANE, MANTUA, NJ 08051; 01/01/2016; PRESIDENT; DUTIES REGARDING OWNING A RENTAL PROPERTY; NOT INVESTMENT RELATED; 2 HOURS/MONTH; 0 HOURS/MONTH DURING BUSINESS HOURS; RENTAL INCOME 6) Legacy Advisors; 5 Apollo Road Plymouth Meeting, PA 19462; Member Firm Affiliation; Investment Related; Retirement Plan Services Advisor; Advisory Services to Retirement Plan Sponsors And Individual Investors; 01/01/2011; 160 hours per month; 160 hours per month during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Steven Paul Mignogna'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®
Experience
Current
October 5, 2011 - Present
LEGACY ADVISORS, LLC
Office #1: 5 Apollo Road, Suite 100, Plymouth Meeting, PA 19462RIA
CRD#: 139830
Plymouth Meeting, PA
Current
March 22, 2011 - Present
M HOLDINGS SECURITIES, INC.
Office #1: 5 Apollo Road, Plymouth Meeting, PA 19462RIA
BD
CRD#: 43285
Plymouth Meeting, PA
Past
November 13, 2007 - January 25, 2011
NEW ENGLAND SECURITIES
RIA
CRD#: 615
NEWTOWN SQUARE, PA
Past
October 12, 2007 - January 25, 2011
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEWTOWN SQUARE, 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".
LA
LEGACY ADVISORS, LLC
LEGACY ADVISORS, LLC
CRD#: 139830 / SEC#: 801-66582
RIA
Registered Investment Advisory firm - (4/11/2006 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 Jersey(3/24/2011)
RR
Pennsylvania(3/23/2011)
IAR
Pennsylvania(10/5/2011)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LA
LEGACY ADVISORS, LLC
LEGACY ADVISORS, LLC
CRD#: 139830 / SEC#: 801-66582
RIA
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Contact information
Main Address
5 Apollo Road, Suite 100, Plymouth Meeting, PA 19462
Mailing Address
Phone number
(610) 943-3000
Established
Firm type
Fiscal year end
# of Employees
38
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,257 |
| AUM (Assets Under Management) | $ 4,182,473,646 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/12/2025 | ||
| 09/19/2024 | ||
| 09/18/2024 | ||
| 03/27/2024 | ||
| 01/19/2023 |
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.
