Mitchell J. Lampert

LEGACY FINANCIAL ADVISORS

Covington, KY 41011

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CRD#: 6990038

Professional summary

Mitchell James Lampert, who also goes by Mitchell Lampert, Mitch James Lampert, Mitch Lampert, Mitt James Lampert, is a registered financial advisor currently at LEGACY FINANCIAL ADVISORS, INC. located in Covington, Kentucky.

Mitchell is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Mitchell has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Mitchell Lampert | Mitch James Lampert | Mitch Lampert | Mitt James Lampert

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 Financial Advisors,Inc;investment related;117 E 4th Street,Covington,KY 41011;financial advisory services;investment trader/paraplanner;5/2021;40 hrs/month;6 hrs during trading;assist director of investment in trading duties and assist advisors in paraplanning duties

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mitchell James Lampert'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

March 18, 2022 - Present

LEGACY FINANCIAL ADVISORS, INC.

Office #1: 117 E. Fourth Street, Covington, KY 41011

RIA

CRD#: 158675

Covington, KY

Past

May 22, 2021 - September 22, 2022

TRIAD ADVISORS LLC

CRD#: 25803

COVINGTON, KY

Past

September 17, 2018 - March 26, 2021

VANGUARD MARKETING CORPORATION

CRD#: 7452

SCOTTSDALE, AZ

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 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

Kentucky
(3/18/2022)

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: 3/18/2022

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/25/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/17/2018

General Securities Representative Examination

Current Firm

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

SEC notice filing (15 States and Territories)

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 Accounts	3,515
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.

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Advisor Monitoring

Firm Stability Insights

Mitchell J. Lampert

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mitchell James Lampert's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRIAD ADVISORS LLC

VANGUARD MARKETING CORPORATION

Primary Firm SEC Registration

LEGACY FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/18/2022

Series 63

Date: 9/25/2018

SIE

Date: 10/1/2018

Series 7

Date: 9/17/2018

Current Firm

LEGACY FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LEGACY FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

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