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Current Employers
Private Advisor Group, Llc

305 Madison Avenue, Morristown, NJ 07960 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-07-26
MI RA APPROVED 2023-10-30
  • TX RA
    APPROVED
    Since 2024-07-26
  • MI RA
    APPROVED
    Since 2023-10-30

Branch Locations

305 Madison Avenue, Morristown, NJ 07960 • United States

3155 W. Big Beaver Road, Suite 117, Troy, MI 48084 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Triad Financial Group Troy MI 04/1990 Present
Sigma Financial Corporation Ann Arbor MI 05/1990 10/2023
Sigma Planning Corporation Ann Arbor MI 01/2003 10/2023
Lpl Financial Llc Troy MI 10/2023 Present
Private Advisor Group, Llc Morristown NJ 10/2023 Present
  • 04/1990 → Present
    Triad Financial Group
    Troy, MI
  • 05/1990 → 10/2023
    Sigma Financial Corporation
    Ann Arbor, MI
  • 01/2003 → 10/2023
    Sigma Planning Corporation
    Ann Arbor, MI
  • 10/2023 → Present
    Lpl Financial Llc
    Troy, MI
  • 10/2023 → Present
    Morristown, NJ
Previous Registrations
  • 2009-10-05 → 2023-10-30
    Troy, MI
    Ann Arbor, MI
Other Businesses

1) 09/29/2023 - DRAKE FINANCIAL SERVICES LLC - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month. 2) 09/29/2023 - Non-Variable Insurance - Visionary Marketing - Ml 48084 - Investment related - 10 Hours per month - Start date: 9/21/2023. 3) 11/01/2023 - Private Advisor Group, LLC - Registered Investment Advisor - Advisor - Investment Related - At Reported Business Location(s) - Start Date 09/21/2023 - 160 Hours Per Month/ 8 Hours During Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 10/24/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its service6s at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1989-04-28
  • S63 Uniform Securities Agent State Law Examination
    1989-04-28
Designations
Other Names
  • Bob Drake

View on SEC IAPD

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