Derek H. Bell

LEGACY PLANNING ADVISORS

Suwanee, GA 30024

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CRD#: 7324446

Professional summary

Derek H Bell is a registered financial advisor currently at LEGACY PLANNING ADVISORS, LLC located in Suwanee, Georgia and THE STRATEGIC FINANCIAL ALLIANCE, INC. located in Suwanee, Georgia.

Derek is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Derek has worked at 3 firms and has passed the Series 63, Series 7TO and SIE 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 Derek H Bell'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

June 10, 2024 - Present

LEGACY PLANNING ADVISORS, LLC

Office #1: 5400 Laurel Springs Parkway Suite 101, Suwanee, GA 30024

RIA

CRD#: 121289

Suwanee, GA

Current

May 13, 2022 - Present

THE STRATEGIC FINANCIAL ALLIANCE, INC.

Office #1: 5400 Laurel Springs Parkway Suite 101, Suwanee, GA 30024

RIA

CRD#: 126514

Suwanee, GA

Past

April 8, 2021 - May 27, 2022

E*TRADE SECURITIES LLC

CRD#: 29106

ALPHARETTA, GA

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 PLANNING ADVISORS, LLC

LEGACY PLANNING ADVISORS, LLC | LEGACY PLANNING GROUP, INC

CRD#: 121289 / SEC#: 801-112270

RIA

Registered Investment Advisory firm - (1/8/2018 Approved)

Georgia

Registered Investment Advisory firm - (3/29/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (12/31/2003 Failure to Renew)

Texas

Registered Investment Advisory firm - (2/6/2018 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.

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

Georgia
(5/13/2022)

IAR

Georgia
(6/10/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 4/19/2021

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 4/8/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/22/2020

Securities Industry Essentials Examination

SRO Registrations

FINRA

Current Firm

LEGACY PLANNING ADVISORS, LLC

LEGACY PLANNING ADVISORS, LLC | LEGACY PLANNING GROUP, INC

CRD#: 121289 / SEC#: 801-112270

RIA

Registered Investment Advisory firm - (1/8/2018 Approved)

Georgia

Registered Investment Advisory firm - (3/29/2018 Terminated)

North Carolina

Registered Investment Advisory firm - (12/31/2003 Failure to Renew)

Texas

Registered Investment Advisory firm - (2/6/2018 Terminated)

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Contact information

Main Address

5400 Laurel Springs Parkway Suite 101, Suwanee, GA 30024

Mailing Address

Phone number

(770) 919-2075

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART II A & B (3/31/2025)

Regulatory assets under management

Total Number of Accounts	565
AUM (Assets Under Management)	$ 192,000,000

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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Derek H. Bell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Derek H Bell's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEGACY PLANNING ADVISORS, LLC

THE STRATEGIC FINANCIAL ALLIANCE, INC.

E*TRADE SECURITIES LLC

Primary Firm SEC Registration

LEGACY PLANNING ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/19/2021

Series 7TO

Date: 4/8/2021

SIE

Date: 10/22/2020

FINRA

Current Firm

LEGACY PLANNING ADVISORS, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LEGACY PLANNING ADVISORS, LLC

TRUST BUT VERIFY

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