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Current Employers
Private Advisor Group, Llc

305 Madison Avenue, Morristown, NJ 07960 • United States

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2016-03-11
  • TN RA
    APPROVED
    Since 2016-03-11

Branch Locations

305 Madison Avenue, Morristown, NJ 07960 • United States

103 Commerce St, Sevierville, TN 37862 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc Sevierville TN 03/2016 Present
Private Advisor Group, Llc Morristown NJ 03/2016 Present
Previous Registrations
  • 2009-10-27 → 2016-04-07
    Knoxville, TN
    Knoxville, TN
  • 2004-01-09 → 2009-10-26
    Morgan Keegan & Company, Llc
    Knoxville, TN
    Maryville, TN
    Alcoa, TN
Other Businesses

1. 03/11/2016 - CAPITAL WEALTH COUNSEL/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 100%/ SEVIERVILLE, TN 2. 03/31/2016; Private Advisor Group; Registered Investment Advisor DBA; (Hybrid) Capital Wealth Counsel; INV REL; AT REPORTED BUSINESS LOCATION(S); START DATE 2/29/2016; 1) N/A 2) No 3) Yes 4) RIA is Private Advisor Group. RIA DBA and LPL DBA are the same.; TIME SPENT 100%. 3. 03/31/2016; Private Advisor Group, LLC; Registered Investment Advisor Hybrid; (Hybrid) Private Advisor Group; INV REL; AT REPORTED BUSINESS LOCATION(S); START DATE 2/1/2016; Advisory Services provided by the RIA; TIME SPENT 100%

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2001-05-29
  • S66 Uniform Combined State Law Examination
    2001-05-29

View on SEC IAPD

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