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Current Employers
Private Advisor Group, Llc

305 Madison Avenue, Morristown, NJ 07960 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-05-09
  • NY RA
    APPROVED
    Since 2021-05-09

Branch Locations

305 Madison Avenue, Morristown, NJ 07960 • United States

94 East Bridge Street, Oswego, NY 13126 • 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 Albany NY 08/2013 Present
Private Advisor Group Albany NY 11/2013 Present
  • 08/2013 → Present
    Lpl Financial, Llc
    Albany, NY
  • 11/2013 → Present
    Private Advisor Group
    Albany, NY
Other Businesses

1. 11/14/2013: REGISTERED INVESTMENT ADVISOR - Investment Related - At Reported Business Location(s) - PRIVATE ADVISOR GROUP - TIME SPENT 100% - MANAGED ASSETS AND INVESTMENT ADVISORY SERVICES BASED ON FINANCIAL PLANNING AND WEALTH MANAGEMENT STRATEGIES. 2. 3/18/2021 - Harbor Summit Financial, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 04/01/2021 - 160 Hours Per Month/7 Hours During Securities Trading. 3. 3/24/2021 - Private Advisor Group - DBA: (Hybrid) Harbor Summit Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 04/01/2021 - 160 Hours Per Month/7 Hours During Securities Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 3/2021. I expect to spend approximately 160 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
S63 Uniform Securities Agent State Law Examination 2001-06-13
  • S63 Uniform Securities Agent State Law Examination
    2001-06-13
Other Names
  • Scott Winchek

View on SEC IAPD

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