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Current Employers
Private Advisor Group, Llc

305 Madison Avenue, Morristown, NJ 07960 • United States

Current Registrations

AuthorityCategoryStatusDate
RI RA APPROVED 2014-05-27
  • RI RA
    APPROVED
    Since 2014-05-27

Branch Locations

305 Madison Avenue, Morristown, NJ 07960 • United States

119 Prosser Trail, Charlestown, RI 02813 • 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 Charlestown RI 11/2011 Present
Private Advisor Group, Llc Charlestown RI 12/2011 Present
Previous Registrations
  • 2003-03-21 → 2011-11-04
    Securities America Advisors, Inc.
    Glastonbury, CT
    Glastonbury, CT
  • 1998-09-11 → 2003-04-30
    Veravest Investment Advisors, Inc.
    Glastonbury, CT
Other Businesses

1. 11/04/2011: DBA ONLY - MARTIN LADER CERTIFIED FINANCIAL PLANNER (TM) - 100% OF TIME - GLASTONBURY, CT. 2. 3/7/2012: REGISTERED INVESTMENT ADVISOR - PRIVATE ADVISOR GROUP - (HYBRID) I CHARGE FOR A FINANCIAL PLAN DEPENDING ON THE VOLUME OF WORK AND TIME REQUIRED. - TIME SPENT 5% - GLASTONBURY, CT. 3. 2/28/2013: NON-VARIABLE INSURANCE - MARTIN LADER - SALES OF FIXED ANNUITIES. - TIME SPENT 3% - GLASTONBURY, CT 4. 11/16/2022 - Private Advisor Group - DBA: Martin Lader Financial Planner - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - 11/01/2010 - 120 Hours Per Month/120 Hours During Securities Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 11/2022. I expect to spend approximately 120 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
S65 Uniform Investment Adviser Law Examination 1997-12-19
S63 Uniform Securities Agent State Law Examination 1996-10-22
  • S65 Uniform Investment Adviser Law Examination
    1997-12-19
  • S63 Uniform Securities Agent State Law Examination
    1996-10-22

View on SEC IAPD

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