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305 Madison Avenue, Morristown, NJ 07960 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-07-24 |
| NY | RA | APPROVED | 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
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Clifton Park | NY | 10/2006 | Present |
| Private Advisor Group, Llc | Morristown | NJ | 03/2013 | Present |
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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-11-25 |
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