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305 Madison Avenue, Morristown, NJ 07960 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| 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 |
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
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2007-10-30 |
| S65 | Uniform Investment Adviser Law Examination | 2002-10-25 |
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