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VERIFIEDThomas Gregg
Legacy Wealth Group - Empire Financial Advisors
3 Lear Jet Ln #201
Latham, NY 12110
518-763-2775
About Legacy Wealth Group - Empire Financial Advisors
Empire Financial Advisors is not your average financial advisory firmand were proud of that.
We are a collective of independent financial professionals. That means we are not bound to specific insurance and investment companies. It also means we offer objective financial advice and products and services tailored to your needs, whether youre an individual or a business owner. No gimmicks. No quotas. No pressure.
Our team of advisors has the experience to help you pursue your financial goals. We'll work with you so you can be an active and informed participant in managing your finances.
See Disclosures
General Information
Firm Start Year
CRD#
6736810
Firm CRD#
6413
Insurance License#
18487409
Name of Broker/Dealer
LPL FINANCIAL LLC
States Licensed in
NY
Years of Experience in Financial Services
12
Number of Years with Current Firm
4
Work with the following types of clients
Businesses, Individual Investors, Non-Profit Organizations
Foreign Languages Serviced
N/A
Advisory Services Provided
Financial Advice & Consulting, Investment Advice & Management, Estate Planning & Trusts, Insurance Products & Annuities, Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Education Funding and Planning, Financial Planning for Individuals, Financial Planning for Businesses, Risk Management
Services
Investment Types
Mortgages & Real Estate, Commodities, Insurance, Annuities, Stocks, Bonds, Options & Futures, Exchange Traded Funds (ETFs), Mutual Funds, Socially Responsible Investments (SRI)
Can meet clients in the following ways
Your Office, Email, Phone, Our Office, Your Home, Video Conference, Our Offices
Compliance
Registered Investment Advisor
Yes
Registered Representative
Yes
Investment Advisor Representative
Yes
Acknowledged fiduciary
Yes
Compliance Disclosures in Last 5 years
I have a clean record
Criminal Disclosures in Last 5 years
I have a clean record
Qualifications & Membership
Certifications, Accreditations & Designations
AAMS®
Securities Licenses
Series 66, Series 7
Insurance and Annuity Licenses
Annuity, Health, Life, Variable Annuity, Long Term Care, Variable Life
Firm Information
Advisor's Number of Clients
120
Advisor's Number of Managed Clients
100
Advisor's Number of Planning Clients
100
Assets Managed by Advisor
$45000000
Compensation and Fees
Fee Structure
Fee-Based
Minimum Portfolio Size for New Managed Accounts
$100,000
Compensation Methods
Commissions, Based on Assets
Fee % Based on Assets
.09%-1.2%
Education
Business Management -
College of Saint Rose
09/01/2004 -05/15/2009
Disclosures
RetirementPlanning.net provides referrals to financial professionals of LPL Financial, LLC (LPL). RetirementPlanning.net is not a current client of LPL for brokerage or advisory services. Financial professionals of LPL pay RetirementPlanning.net cash compensation for these referrals, which creates the incentive for RetirementPlanning.net to make these referrals, resulting in a conflict of interest.
LPL ADV 2A
https://www.lpl.com/content/dam/lpl-www/documents/disclosures/A58.pdf
Additional Detailed Disclosures
https://www.lpl.com/content/dam/edam/format/disclosure/wiseradvisor-lpl-detailed-disclosures.pdf