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Current Employers
Private Advisor Group, Llc

305 Madison Avenue, Morristown, NJ 07960 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2022-03-16
TX RA APPROVED 2022-03-16
  • MN RA
    APPROVED
    Since 2022-03-16
  • TX RA
    APPROVED
    Since 2022-03-16

Branch Locations

9800 Shelard Parkway, Suite 220, Plymouth, MN 55441 • 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
Investors Financial Group, Llc Minneapolis MN 12/2001 09/2017
Lpl Financial, Llc Minneapolis MN 09/2009 Present
Investors Financial Group, Llc Minneapolis MN 09/2017 Present
Private Advisor Group, Llc Morristown NJ 03/2022 Present
  • 12/2001 → 09/2017
    Investors Financial Group, Llc
    Minneapolis, MN
  • 09/2009 → Present
    Lpl Financial, Llc
    Minneapolis, MN
  • 09/2017 → Present
    Investors Financial Group, Llc
    Minneapolis, MN
  • 03/2022 → Present
    Morristown, NJ
Previous Registrations
  • 2017-09-25 → 2022-07-25
    Investors Financial Group
    Minneapolis, MN
Other Businesses

1. 12/7/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 12/01/2018 - 4 Hours Per Month During Securities Trading. 2. 03/30/2022 - Private Advisor Group - DBA: (Hybrid) Investors Financial Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date: 03/18/2022 - 160 Hours Per Month/130 Hours During Securities Trading - I provide investment advisory services through Private Advisor Group, LLC, an independent investment advisor firm. I started this business activity in 3/2022. 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. 3. 03/30/2022 - Private Advisor Group, LLC - DBA: (Hybrid) Private Advisor Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 03/18/2022 - 160 Hours Per Month/160 Hours During Securities Trading - I provide investment advisory services through Private Advisor Group, LLC, an independent investment advisor firm. I started this business activity in 3/2022. 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. 4. 08/25/2022 - Investors Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 03/21/2022 - 140 Hours Per Month/120 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-06-30
S63 Uniform Securities Agent State Law Examination 2013-04-30
  • S66 Uniform Combined State Law Examination
    2016-06-30
  • S63 Uniform Securities Agent State Law Examination
    2013-04-30
Other Names
  • Elizabeth Ann Rumrey
  • Elizabeth Ann Rumrey

View on SEC IAPD

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