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Current Employers
Private Advisor Group, Llc

305 Madison Avenue, Morristown, NJ 07960 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-04-12
NY RA APPROVED 2024-04-10
  • TX RA
    APPROVED_RES
    Since 2024-04-12
  • NY RA
    APPROVED
    Since 2024-04-10

Branch Locations

1688 Monroe Ave, Rochester, NY 14618 • United States

305 Madison Avenue, Morristown, NJ 07960 • United States

Disclosures

2 disclosure categories 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 Yes
Employment History
OrganizationCityStateFromTo
J.P. Morgan Securities Llc Pittsford NY 10/2012 02/2017
Rbc Capital Markets, Llc Rochester NY 05/2017 04/2024
City National Bank Rochester NY 09/2017 04/2024
Lpl Financial Llc Rochester NY 04/2024 Present
Private Advisor Group, Llc Morristown NJ 04/2024 Present
Previous Registrations
  • 2017-05-18 → 2024-04-26
    Rochester, NY
  • 2012-10-01 → 2017-03-17
    Fairport, NY
    Pittsford, NY
  • 2007-03-20 → 2012-10-01
    Chase Investment Services Corp.
    Fairport, NY
    Pittsford, NY
    East Rochester, NY
    Pittsford, NY
Other Businesses

1. 4/01/2024 - Insurance Sales- Non-Variable Insurance- Investment Related- 12 hrs per mnth- 1/2 hrs during trading- start date 1/01/2024 2. 4/01/2024 - Monarch Wealth Management- DBA for LPL Business (entity for LPL business)- Investment Related- 160 hrs per mnth- 8 hrs during trading- start date 2/26/2024 3. 4/01/2024 - Real Estate Rental- Real Estate Rental- Investment Related -start date 09/01/2016 4. 04/24/2024 - Private Advisor Group - Registered Investment Advisor Hybrid - Advisor - Investment Related - At Reported Business Location(s) - Start Date 02/26/2024 - 160 Hours Per Month/ 8 Hours During Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 4/2024. 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 service6s at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 5. 04/24/2024 - Monarch Wealth Management, LLC - Registered Investment Advisor DBA - Investment Related - At Reported Business Location(s) - Start Date 02/26/2024 - 160 Hours Per Month/ 8 Hours During Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 4/2024. 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 service6s 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 2007-03-17
S63 Uniform Securities Agent State Law Examination 2001-06-08
  • S65 Uniform Investment Adviser Law Examination
    2007-03-17
  • S63 Uniform Securities Agent State Law Examination
    2001-06-08

View on SEC IAPD

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