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Investment Adviser Firm Summary

LEGACY WEALTH MANAGEMENT INC (CRD# 108619 / SEC# 801-18073)
Alternate Names: LEGACY WEALTH MANAGEMENT INC

The adviser's REGISTRATION status is listed below.


REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 12/23/1982

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 03/28/2012
Arizona 03/22/2017
Arkansas 10/30/1996
California 03/31/2011
Colorado 03/22/2017
Florida 02/28/1997
Georgia 09/21/2009
Illinois 03/22/2017
Louisiana 03/28/2012
Maryland 03/22/2018
Mississippi 09/01/1997
Missouri 03/15/2005
Nebraska 03/22/2017
New Hampshire 03/22/2017
New Jersey 04/10/2018
New York 03/07/2003
North Carolina 09/24/2002
South Carolina 03/28/2012
Tennessee 05/24/1992
Texas 10/13/1992

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser