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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 2022-09-19
TN RA APPROVED 2022-09-16
  • TX RA
    APPROVED_RES
    Since 2022-09-19
  • TN RA
    APPROVED
    Since 2022-09-16

Branch Locations

2031 N. Mount Juliet Rd., Ste 200, Mount Juliet, TN 37122 • United States

305 Madison Avenue, Morristown, NJ 07960 • 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 Nashville TN 08/2006 Present
Private Advisor Group, Llc Morristown NJ 09/2022 Present
Previous Registrations
Other Businesses

1. 5/13/2011: COMPLETE REAL ESTATE, LLC - Mortgage/Real Estate Services - MANAGE 5 RESIDENTIAL RENTAL PROPERTIES - 10% OF TIME SPENT. 2. 4/6/2018 - Tennessee Heat Sports - Not Investment Related - Address: N/A - Non-Profit Board Member - Coach/Member of Board of Directors - Start Date: 01/01/2014 - 20 Hours Per Month/0 Hours During Securities Trading 3. 11/07/2022 - Private Advisor Group, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 09/01/2022 - 150 Hours Per Month/120 Hours During Securities Trading. 4. 11/07/2022 - EPM Financial, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 09/01/2022 - 150 Hours Per Month/120 Hours During Securities Trading. 5. 04/17/2026 - Private Advisor Group - Registered Investment Advisor DBA - Investment Related - At Reported Business Location(s) - Start Date 09/01/2022 - 100 hours per month/ during trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 09/2022. 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
S66 Uniform Combined State Law Examination 1999-11-16
  • S66 Uniform Combined State Law Examination
    1999-11-16

View on SEC IAPD

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