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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
  • MN RA
    APPROVED
    Since 2022-03-16

Branch Locations

305 Madison Avenue, Morristown, NJ 07960 • United States

1700 Hwy 36 W. Ste 320, Roseville, MN 55113 • 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
Mutual Service Corporation Minneapolis MN 03/1999 Present
Lpl Financial Corporation Minneapolis MN 09/2009 Present
Investors Financial Group, Llc Investors Financial Group, Llc MN 04/2011 Present
Private Advisor Group, Llc Morristown NJ 03/2022 Present
  • 03/1999 → Present
    Mutual Service Corporation
    Minneapolis, MN
  • 09/2009 → Present
    Lpl Financial Corporation
    Minneapolis, MN
  • 04/2011 → Present
    Investors Financial Group, Llc
    Investors Financial Group, Llc, MN
  • 03/2022 → Present
    Morristown, NJ
Previous Registrations
  • 2014-01-13 → 2022-07-25
    Investors Financial Group
    Minneapolis, MN
    Plymouth, MN
Other Businesses

1. 8/12/10 - NON-VARIABLE INSURANCE DBA/INVESTORS FINANCIAL GROUP, INC./SELL FIXED INSURANCE PRODUCTS ON OCCASSION. 5% OF TIME. 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 - 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.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1998-07-22
  • S63 Uniform Securities Agent State Law Examination
    1998-07-22

View on SEC IAPD

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