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  5. LEGACY FINANCIAL ADVISORS, INC.

LEGACY FINANCIAL ADVISORS, INC.

Company Details

Name: LEGACY FINANCIAL ADVISORS, INC.
Jurisdiction: Kentucky
Profit or Non-Profit: Profit
Legal type: Kentucky Corporation
Status: Active
Standing: Good
File Date: 29 Jun 2006 (19 years ago)
Organization Date: 29 Jun 2006 (19 years ago)
Last Annual Report: 22 May 2024 (8 months ago)
Organization Number: 0641801
Industry: Security & Commodity Brokers, Dealers, Exchanges & Services
Number of Employees: Medium (20-99)
ZIP code: 41011
Primary County: Kenton
Principal Office: 117 EAST FOURTH STREET, COVINGTON, KY 41011
Place of Formation: KENTUCKY
Authorized Shares: 1000

Central Index Key

CIK number Mailing Address Business Address Phone
1730810 117 EAST FOURTH STREET, COVINGTON, KY, 41011 117 EAST FOURTH STREET, COVINGTON, KY, 41011 859-655-3865

Filings since 2024-11-14
Form type 13F-HR
File number 028-18306
Filing date 2024-11-14
Reporting date 2024-09-30
File View File

Filings since 2024-08-21
Form type N-PX
File number 028-18306
Filing date 2024-08-21
Reporting date 2024-06-30
File View File

Filings since 2024-08-13
Form type 13F-HR
File number 028-18306
Filing date 2024-08-13
Reporting date 2024-06-30
File View File

Filings since 2024-05-14
Form type 13F-HR
File number 028-18306
Filing date 2024-05-14
Reporting date 2024-03-31
File View File

Filings since 2024-02-13
Form type 13F-HR/A
File number 028-18306
Filing date 2024-02-13
Reporting date 2023-12-31
File View File

Filings since 2024-02-06
Form type 13F-HR
File number 028-18306
Filing date 2024-02-06
Reporting date 2023-12-31
File View File

Filings since 2023-11-13
Form type 13F-HR
File number 028-18306
Filing date 2023-11-13
Reporting date 2023-09-30
File View File

Filings since 2023-08-08
Form type 13F-HR
File number 028-18306
Filing date 2023-08-08
Reporting date 2023-06-30
File View File

Filings since 2023-05-03
Form type 13F-HR
File number 028-18306
Filing date 2023-05-03
Reporting date 2023-03-31
File View File

Filings since 2023-02-06
Form type 13F-HR
File number 028-18306
Filing date 2023-02-06
Reporting date 2022-12-31
File View File

Filings since 2022-11-09
Form type 13F-HR
File number 028-18306
Filing date 2022-11-09
Reporting date 2022-09-30
File View File

Filings since 2022-08-08
Form type 13F-HR
File number 028-18306
Filing date 2022-08-08
Reporting date 2022-06-30
File View File

Filings since 2022-05-04
Form type 13F-HR
File number 028-18306
Filing date 2022-05-04
Reporting date 2022-03-31
File View File

Filings since 2022-02-04
Form type 13F-HR
File number 028-18306
Filing date 2022-02-04
Reporting date 2021-12-31
File View File

Filings since 2021-10-26
Form type 13F-HR
File number 028-18306
Filing date 2021-10-26
Reporting date 2021-09-30
File View File

Filings since 2021-07-21
Form type 13F-HR
File number 028-18306
Filing date 2021-07-21
Reporting date 2021-06-30
File View File

Filings since 2021-04-28
Form type 13F-HR
File number 028-18306
Filing date 2021-04-28
Reporting date 2021-03-31
File View File

Filings since 2021-02-02
Form type 13F-HR
File number 028-18306
Filing date 2021-02-02
Reporting date 2020-12-31
File View File

Filings since 2020-11-09
Form type 13F-HR
File number 028-18306
Filing date 2020-11-09
Reporting date 2020-09-30
File View File

Filings since 2020-08-07
Form type 13F-HR
File number 028-18306
Filing date 2020-08-07
Reporting date 2020-06-30
File View File

Filings since 2020-05-12
Form type 13F-HR
File number 028-18306
Filing date 2020-05-12
Reporting date 2020-03-31
File View File

Filings since 2020-01-27
Form type 13F-HR
File number 028-18306
Filing date 2020-01-27
Reporting date 2019-12-31
File View File

Filings since 2019-11-07
Form type 13F-HR
File number 028-18306
Filing date 2019-11-07
Reporting date 2019-09-30
File View File

Filings since 2019-08-07
Form type 13F-HR
File number 028-18306
Filing date 2019-08-07
Reporting date 2019-06-30
File View File

Filings since 2019-05-14
Form type 13F-HR
File number 028-18306
Filing date 2019-05-14
Reporting date 2019-03-31
File View File

Filings since 2019-01-16
Form type 13F-HR
File number 028-18306
Filing date 2019-01-16
Reporting date 2018-12-31
File View File

Filings since 2018-10-30
Form type 13F-HR
File number 028-18306
Filing date 2018-10-30
Reporting date 2018-09-30
File View File

Filings since 2018-07-17
Form type 13F-HR
File number 028-18306
Filing date 2018-07-17
Reporting date 2018-06-30
File View File

Filings since 2018-04-12
Form type 13F-HR
File number 028-18306
Filing date 2018-04-12
Reporting date 2018-03-31
File View File

Filings since 2018-02-09
Form type 13F-HR
File number 028-18306
Filing date 2018-02-09
Reporting date 2017-12-31
File View File

form 5500

Plan Name Plan Year EIN/PN Received Sponsor Total number of participants
LEGACY FINANCIAL ADVISORS, INC. 401(K) PLAN 2023 204972254 2024-06-27 LEGACY FINANCIAL ADVISORS, INC. 20
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2005-01-01
Business code 523900
Sponsor’s telephone number 8596555225
Plan sponsor’s address 117 E 4TH STREET, COVINGTON, KY, 41011

Signature of
Role Plan administrator
Date 2024-06-27
Name of individual signing LAURA BRANUM
Valid signature Filed with authorized/valid electronic signature
LEGACY FINANCIAL ADVISORS INC CBS BENEFIT PLAN 2022 204972254 2023-12-27 LEGACY FINANCIAL ADVISORS INC 17
File View Page
Three-digit plan number (PN) 501
Effective date of plan 2020-01-01
Business code 523900
Sponsor’s telephone number 8596555225
Plan sponsor’s address 117 E 4TH ST, COVINGTON, KY, 41011

Plan administrator’s name and address
Administrator’s EIN 846429706
Plan administrator’s name SHAWNA BURTON
Plan administrator’s address 464 CHENAULT RD, FRANKFORT, KY, 40601
Administrator’s telephone number 5026954700

Signature of
Role Plan administrator
Date 2023-12-27
Name of individual signing SHAWNA BURTON
Valid signature Filed with authorized/valid electronic signature
LEGACY FINANCIAL ADVISORS, INC. 401(K) PLAN 2022 204972254 2023-06-14 LEGACY FINANCIAL ADVISORS, INC. 18
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2005-01-01
Business code 523900
Sponsor’s telephone number 8596555232
Plan sponsor’s address 117 E. 4TH STREET, COVINGTON, KY, 41011

Signature of
Role Plan administrator
Date 2023-06-14
Name of individual signing LAURA BRANUM
Valid signature Filed with authorized/valid electronic signature
LEGACY FINANCIAL ADVISORS INC CBS BENEFIT PLAN 2021 204972254 2022-12-29 LEGACY FINANCIAL ADVISORS INC 16
File View Page
Three-digit plan number (PN) 501
Effective date of plan 2020-01-01
Business code 523900
Sponsor’s telephone number 8596555225
Plan sponsor’s address 117 E 4TH ST, COVINGTON, KY, 41011

Plan administrator’s name and address
Administrator’s EIN 846429706
Plan administrator’s name SHAWNA BURTON
Plan administrator’s address 464 CHENAULT RD, FRANKFORT, KY, 40601
Administrator’s telephone number 5026954700

Signature of
Role Plan administrator
Date 2022-12-29
Name of individual signing SHAWNA BURTON
Valid signature Filed with authorized/valid electronic signature
LEGACY FINANCIAL ADVISORS, INC. 401(K) PLAN 2021 204972254 2022-07-12 LEGACY FINANCIAL ADVISORS, INC. 16
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2005-01-01
Business code 523900
Sponsor’s telephone number 8596555232
Plan sponsor’s address 117 E. 4TH STREET, COVINGTON, KY, 41011

Signature of
Role Plan administrator
Date 2022-07-12
Name of individual signing LAURA BRANUM
Valid signature Filed with authorized/valid electronic signature
LEGACY FINANCIAL ADVISORS, INC. 401(K) PLAN 2020 204972254 2021-07-07 LEGACY FINANCIAL ADVISORS, INC. 15
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2005-01-01
Business code 523900
Sponsor’s telephone number 8596555232
Plan sponsor’s address 117 E. 4TH STREET, COVINGTON, KY, 41011

Signature of
Role Plan administrator
Date 2021-07-07
Name of individual signing LAURA BRANUM
Valid signature Filed with authorized/valid electronic signature
LEGACY FINANCIAL ADVISORS INC CBS BENEFIT PLAN 2020 204972254 2021-12-14 LEGACY FINANCIAL ADVISORS INC 14
File View Page
Three-digit plan number (PN) 501
Effective date of plan 2020-01-01
Business code 523900
Sponsor’s telephone number 8596555225
Plan sponsor’s address 117 E 4TH ST, COVINGTON, KY, 41011

Plan administrator’s name and address
Administrator’s EIN 846429706
Plan administrator’s name SHAWNA BURTON
Plan administrator’s address 464 CHENAULT RD, FRANKFORT, KY, 40601
Administrator’s telephone number 5026954700

Signature of
Role Plan administrator
Date 2021-12-14
Name of individual signing SHAWNA BURTON
Valid signature Filed with authorized/valid electronic signature
LEGACY FINANCIAL ADVISORS INC CBS BENEFIT PLAN 2019 204972254 2020-12-23 LEGACY FINANCIAL ADVISORS INC 16
Three-digit plan number (PN) 501
Effective date of plan 2020-01-01
Business code 523900
Sponsor’s telephone number 8596555225
Plan sponsor’s address 117 E 4TH ST, COVINGTON, KY, 41011

Plan administrator’s name and address
Administrator’s EIN 846429706
Plan administrator’s name KELLY WOLF
Plan administrator’s address 464 CHENAULT RD, FRANKFORT, KY, 40601
Administrator’s telephone number 5026954700

Signature of
Role Plan administrator
Date 2020-12-23
Name of individual signing KELLY WOLF
Valid signature Filed with authorized/valid electronic signature
LEGACY FINANCIAL ADVISORS, INC. 401(K) PLAN 2019 204972254 2020-07-14 LEGACY FINANCIAL ADVISORS, INC. 14
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2005-01-01
Business code 523900
Sponsor’s telephone number 8596555232
Plan sponsor’s address 117 E. 4TH STREET, COVINGTON, KY, 41011

Signature of
Role Plan administrator
Date 2020-07-14
Name of individual signing LAURA BRANUM
Valid signature Filed with authorized/valid electronic signature
LEGACY FINANCIAL ADVISORS, INC. 401(K) PLAN 2018 204972254 2019-07-09 LEGACY FINANCIAL ADVISORS, INC. 14
File View Page
Three-digit plan number (PN) 001
Effective date of plan 2005-01-01
Business code 523900
Sponsor’s telephone number 8596555232
Plan sponsor’s address 117 E. 4TH STREET, COVINGTON, KY, 41011
File https://efast2-filings-public.s3.amazonaws.com/prd/2018/06/25/20180625153652P040019131873001.pdf
Three-digit plan number (PN) 001
Effective date of plan 2005-01-01
Business code 523900
Sponsor’s telephone number 8596555232
Plan sponsor’s address 117 E. 4TH STREET, COVINGTON, KY, 41011
File https://efast2-filings-public.s3.amazonaws.com/prd/2017/09/19/20170919125836P030143742567001.pdf
Three-digit plan number (PN) 001
Effective date of plan 2005-01-01
Business code 523900
Sponsor’s telephone number 8596555232
Plan sponsor’s address 117 E FOURTH STREET, COVINGTON, KY, 41011

Signature of
Role Plan administrator
Date 2017-09-19
Name of individual signing LAURA BRANUM
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2017-09-19
Name of individual signing LAURA BRANUM
Valid signature Filed with authorized/valid electronic signature
File https://efast2-filings-public.s3.amazonaws.com/prd/2016/09/27/20160927080832P030012584887001.pdf
Three-digit plan number (PN) 001
Effective date of plan 2005-01-01
Business code 523900
Sponsor’s telephone number 8596555232
Plan sponsor’s address 117 E FOURTH STREET, COVINGTON, KY, 41011

Signature of
Role Plan administrator
Date 2016-09-27
Name of individual signing LAURA BRANUM
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2016-09-27
Name of individual signing LAURA BRANUM
Valid signature Filed with authorized/valid electronic signature
File https://efast2-filings-public.s3.amazonaws.com/prd/2015/10/01/20151001113335P040025563633001.pdf
Three-digit plan number (PN) 001
Effective date of plan 2005-01-01
Business code 523900
Sponsor’s telephone number 8596555232
Plan sponsor’s address 117 E FOURTH STREET, COVINGTON, KY, 41011

Signature of
Role Plan administrator
Date 2015-10-01
Name of individual signing LAURA BRANUM
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2015-10-01
Name of individual signing LAURA BRANUM
Valid signature Filed with authorized/valid electronic signature
File https://efast2-filings-public.s3.amazonaws.com/prd/2014/09/30/20140930144958P040009711247001.pdf
Three-digit plan number (PN) 001
Effective date of plan 2005-01-01
Business code 523900
Sponsor’s telephone number 8596555232
Plan sponsor’s address 117 E FOURTH STREET, COVINGTON, KY, 41011

Signature of
Role Plan administrator
Date 2014-09-30
Name of individual signing LAURA BRANUM
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2014-09-30
Name of individual signing LAURA BRANUM
Valid signature Filed with authorized/valid electronic signature
File https://efast2-filings-public.s3.amazonaws.com/prd/2013/10/15/20131015075722P040046189681001.pdf
Three-digit plan number (PN) 001
Effective date of plan 2005-01-01
Business code 523900
Sponsor’s telephone number 8596555232
Plan sponsor’s address 117 E FOURTH STREET, COVINGTON, KY, 41011

Signature of
Role Plan administrator
Date 2013-10-03
Name of individual signing LAURA BRANUM
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2013-10-03
Name of individual signing LAURA BRANUM
Valid signature Filed with authorized/valid electronic signature
File https://efast2-filings-public.s3.amazonaws.com/prd/2012/10/08/20121008070357P040000340775001.pdf
Three-digit plan number (PN) 001
Effective date of plan 2005-01-01
Business code 523900
Sponsor’s telephone number 8596555232
Plan sponsor’s address 117 E FOURTH STREET, COVINGTON, KY, 41011

Plan administrator’s name and address
Administrator’s EIN 204972254
Plan administrator’s name LEGACY FINANCIAL ADVISORS INC
Plan administrator’s address 117 E FOURTH STREET, COVINGTON, KY, 41011
Administrator’s telephone number 8596555232

Signature of
Role Plan administrator
Date 2012-10-08
Name of individual signing BRADLEY R ZAPP
Valid signature Filed with authorized/valid electronic signature
File https://efast2-filings-public.s3.amazonaws.com/prd/2011/09/26/20110926151412P030044921959001.pdf
Three-digit plan number (PN) 001
Effective date of plan 2005-01-01
Business code 523900
Sponsor’s telephone number 8596555232
Plan sponsor’s address 117 E FOURTH STREET, COVINGTON, KY, 41011

Plan administrator’s name and address
Administrator’s EIN 204972254
Plan administrator’s name LEGACY FINANCIAL ADVISORS INC
Plan administrator’s address 117 E FOURTH STREET, COVINGTON, KY, 41011
Administrator’s telephone number 8596555232

Signature of
Role Plan administrator
Date 2011-09-26
Name of individual signing BRADLEY R ZAPP
Valid signature Filed with authorized/valid electronic signature
Role Employer/plan sponsor
Date 2011-09-26
Name of individual signing LAURA L BRANUM
Valid signature Filed with authorized/valid electronic signature
File https://efast2-filings-public.s3.amazonaws.com/prd/2010/07/12/20100712111703P030369165873001.pdf
Three-digit plan number (PN) 001
Effective date of plan 2005-01-01
Business code 523900
Sponsor’s telephone number 8596555232
Plan sponsor’s address 117 E FOURTH STREET, COVINGTON, KY, 41011

Plan administrator’s name and address
Administrator’s EIN 204972254
Plan administrator’s name LEGACY FINANCIAL ADVISORS INC
Plan administrator’s address 117 E FOURTH STREET, COVINGTON, KY, 41011
Administrator’s telephone number 8596555232

Signature of
Role Plan administrator
Date 2010-07-12
Name of individual signing BRADLEY R ZAPP
Valid signature Filed with authorized/valid electronic signature

Registered Agent

Name Role
MICHAEL J MAISEL Registered Agent

Officer

Name Role
Paul A Sartori Officer
Peter Trent Lucas Officer

President

Name Role
Michael J Maisel President

Incorporator

Name Role
BRAD ZAPP Incorporator

Filings

Name File Date
Annual Report 2024-05-22
Annual Report 2023-05-02
Annual Report 2022-05-03
Annual Report 2021-03-29
Annual Report 2020-04-14
Annual Report 2019-05-01
Annual Report 2018-04-12
Annual Report 2017-04-25
Annual Report 2016-04-05
Annual Report 2015-04-22

Related by officers

MICHAEL J MAISEL

4TH STREET, LLC

Paul A Sartori

4TH STREET, LLC BRIDGE PARTNERS, LLC

Peter Trent Lucas

4TH STREET, LLC

Michael J Maisel

4TH STREET, LLC BRIDGE PARTNERS, LLC

BRAD ZAPP

CONNETIC FUND, LLC

Related by address

No related companies by address

Date of last update: 11 Nov 2024

Sources: Kentucky Secretary of State

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