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Current Employers
Private Advisor Group, Llc

305 Madison Avenue, Morristown, NJ 07960 • United States

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2019-10-03
  • IN RA
    APPROVED
    Since 2019-10-03

Branch Locations

305 Madison Avenue, Morristown, NJ 07960 • United States

10100 Lantern Road, Suite 200, Fishers, IN 46037 • 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 Fishers IN 10/2000 Present
Gimbal Financial Llc Fishers IN 02/2012 10/2019
Private Advisor Group, Llc Fishers IN 09/2019 Present
Previous Registrations
Other Businesses

1. 12/20/2002 - Non-Variable Insurance - INV REL - SELL TERM INSURANCE 2. 7/31/2019 - Lantern Global Advisors LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 07/01/2019 - 40 Hours Per Month During Securities Trading. 3. 10/04/2019 - Private Advisor Group, LLC - Investment related - At reported business location(s) - Registered Investment Advisor Hybrid - start date:09/30/2019 - 100 hrs/mo - 60 hrs during trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 10/2019. 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. 4. 10/04/2019 - Private Advisor Group - DBA:(Hybrid) Lantern Global Advisors, LLC - Investment related - At reported business location(s) - Registered Investment Advisor DBA - start date:09/30/2019 - 100 hrs/mo - 60 hrs during trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 10/2019. 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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-10-04
S63 Uniform Securities Agent State Law Examination 2001-04-09
  • S65 Uniform Investment Adviser Law Examination
    2001-10-04
  • S63 Uniform Securities Agent State Law Examination
    2001-04-09

View on SEC IAPD

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