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305 Madison Avenue, Morristown, NJ 07960 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-05-09 |
Branch Locations
305 Madison Avenue, Morristown, NJ 07960 • United States
94 East Bridge Street, Oswego, NY 13126 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Albany | NY | 08/2013 | Present |
| Private Advisor Group | Albany | NY | 11/2013 | Present |
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.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2001-06-13 |
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