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305 Madison Avenue, Morristown, NJ 07960 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-03-17 |
| MN | RA | APPROVED | 2022-03-16 |
Branch Locations
9800 Shelard Parkway, Suite 220, Plymouth, MN 55441 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc | Plymouth | MN | 05/2013 | Present |
| Investors Financial Group, Llc | Plymouth | MN | 05/2013 | Present |
| Private Advisor Group, Llc | Morristown | NJ | 03/2022 | Present |
(1) 6/20/2013 - REGISTERED INVESTMENT ADVISOR DBA - INVESTORS FINANCIAL GROUP, LLC - ADVICE FOR FEES, CHARGED AS % OF ASSETS UNDER MANAGEMENT. - TIME SPENT 50% - PLYMOUTH, MN. (2) 10/17/2013 - DBA ONLY - INVESTORS FINANCIAL GROUP, LLC - PLYMOUTH, MN (3) 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. (4) 03/30/2022 - Private Advisor Group, LLC - 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. (5) 06/20/2023 - Capitas Financial - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date 01/01/2022 - 2 Hours Per Month/ 2 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-08-13 |
| S63 | Uniform Securities Agent State Law Examination | 1999-08-12 |
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