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Current Employers
Private Advisor Group, Llc

305 Madison Avenue, Morristown, NJ 07960 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-03-05
MN RA APPROVED 2023-12-12
TX RA APPROVED_RES 2012-01-03
NJ RA APPROVED 2011-05-20
  • NY RA
    APPROVED
    Since 2024-03-05
  • MN RA
    APPROVED
    Since 2023-12-12
  • TX RA
    APPROVED_RES
    Since 2012-01-03
  • NJ RA
    APPROVED
    Since 2011-05-20

Branch Locations

305 Madison Avenue, Morristown, NJ 07960 • United States

200 Plaza Drive, Vestal, NY 13850 • United States

1300 Godward St Ne, Ste 6250, Minneapolis, MN 55413 • United States

9800 Shelard Pkwy, #220, Plymouth, MN 55441 • 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
Lpl Financial Llc Morristown NJ 11/2001 Present
Morristown Financial Group, Llp Morristown NJ 11/2001 Present
Private Advisor Group, Llc Morristown NJ 05/2011 Present
Pag Financial Llc Morristown NJ 09/2020 Present
  • 11/2001 → Present
    Lpl Financial Llc
    Morristown, NJ
  • 11/2001 → Present
    Morristown Financial Group, Llp
    Morristown, NJ
  • 05/2011 → Present
    Morristown, NJ
  • 09/2020 → Present
    Pag Financial Llc
    Morristown, NJ
Previous Registrations
  • 2004-11-17 → 2009-06-30
    Morristown Financial Group, Llp
    Morristown, NJ
Other Businesses

1. 2/9/2008 - BINGHAMTON FINANCIAL GROUP - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 2. 3/6/2008 - No Business Name - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - Time Spent 5% - Life Insurance Business (Whole, Term, Universal, Fixed Annuities). 3. 7/26/2011 - Private Advisor Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Time Spent 75% - Provide asset management for a fee. 4. 12/11/2012: PRIVATE ADVISOR GROUP - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 5. 6/18/2019 - No Business Name - Investment Related - Jewett NY 12444 - Real Estate Rental - Start Date: 06/01/2019 - 1 Hour Per Month/0 Hours During Securities Trading. 6. 8/6/2020 - PAG Holdings LLC - Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 6/9/2020 - 30 Hours Per Month/1 Hour During Securities Trading - PAG Holdings LLC will be a holding company for PAG Financial and Private Advisor Group LLC. 7. 4/29/2021 - PAG Financial LLC - Investment Related - At Reported Business Location(s) - Other-Limited Purpose B/D - General Securities Principal - Start Date: 11/2/2020 - 5 Hours Per Month/0 Hours During Securities Trading.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2007-10-30
S65 Uniform Investment Adviser Law Examination 2002-10-25
  • S63 Uniform Securities Agent State Law Examination
    2007-10-30
  • S65 Uniform Investment Adviser Law Examination
    2002-10-25

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