Best Investors Account Sign in
Current Employers
Private Advisor Group, Llc

305 Madison Avenue, Morristown, NJ 07960 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-07-24
NY RA APPROVED 2021-05-26
  • TX RA
    APPROVED_RES
    Since 2024-07-24
  • NY RA
    APPROVED
    Since 2021-05-26

Branch Locations

305 Madison Avenue, Morristown, NJ 07960 • United States

Saratoga Springs, NY • United States

125 Wolf Rd Suite 503-10, Albany, NY 12205 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc Clifton Park NY 10/2006 Present
Private Advisor Group, Llc Morristown NJ 03/2013 Present
Other Businesses

1. 10/25/2006 - Dempsey and Drumm - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 3/4/2013 - PRIVATE ADVISOR GROUP - Investment Related - At Reported Business Location(s) - REGISTERED INVESTMENT ADVISOR - TIME SPENT 40% - (HYBRID) PROVIDE FINANCIAL PLANNING AND ASSET MANAGEMENT FOR A FEE. 3. 3/24/2014 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Time Spent 1% - Life, disability, long-term care, fixed annuities. 4. 2/20/2019 - Private Advisor Group - DBA: (Hybrid) Dempsey & Drumm, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date: 03/04/2013 - 96 Hours Per Month/78 Hours During Securities Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity on 2/20/2019. I expect to spend approximately 96 hours/month on this activity. Please see the advisory firms 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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-11-25
  • S66 Uniform Combined State Law Examination
    2000-11-25
Other Names
  • T. Christian Drumm

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Morristown, NJ

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor