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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MD | RA | APPROVED | 2024-10-29 |
| PA | RA | APPROVED | 2010-02-23 |
Branch Locations
2137 Embassy Drive Suite 117, Lancaster, PA 17603 • United States
Ocean Pines, MD • United States
305 Madison Avenue, Morristown, NJ 07960 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MD | RA | APPROVED | 2024-10-21 |
| TX | RA | APPROVED | 2015-09-28 |
| PA | RA | APPROVED | 2014-05-01 |
Branch Locations
305 Madison Avenue, Morristown, NJ 07960 • United States
2137 Embassy Drive, Suite 117, Lancaster, PA 17603 • United States
Ocean Pines, MD • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc (Formerly: Linsco/Private Ledger Corp.) | Lancaster | PA | 07/1994 | Present |
| Private Advisor Group, Llc | Lancaster | PA | 04/2014 | Present |
(1) 12/29/2016: Sage Financial LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 05/02/2014 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through Sage Financial an independent investment advisor firm. I started this business activity in 5, 2014. I expect to spend approximately 160 hours per month on this activity. Please see the Form ADV of the advisory firm for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL. (2) 9/20/2019 - SLED LLC - Investment Related - 2137 Embassy Drive, Suite 117, Lancaster, PA 17603 - Real Estate Rental - Start Date: 07/01/2019 - 1 Hour Per Month/1 Hour During Securities Trading - Majority owner. (3) 6/22/2021 - No Business Name - Investment Related - Ocean Pines, MD 21811 - Real Estate Rental - Start Date: 6/11/2021 - 2 Hours Per Month/0 Hours During Securities Trading - Beach home rental. (4) 11/16/2022 - Private Advisor Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date - 07/01/2013 - 100 Hours Per Month/100 Hours During Securities Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 11/2022. I expect to spend approximately 100 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 services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. (5) 12/9/2022 - SAGE FINANCIAL LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 07/01/2009 - 160 Hours Per Month/160 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1990-01-25 |
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