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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2026-07-09
PA RA APPROVED 2010-01-05
  • NJ RA
    APPROVED
    Since 2026-07-09
  • PA RA
    APPROVED
    Since 2010-01-05

Branch Locations

107 Tindall Rd Ste 4, Middletown, NJ 07748 • United States

Private Advisor Group, Llc

305 Madison Avenue, Morristown, NJ 07960 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2017-11-27
PA RA APPROVED 2015-09-22
  • NJ RA
    APPROVED
    Since 2017-11-27
  • PA RA
    APPROVED
    Since 2015-09-22

Branch Locations

305 Madison Avenue, Morristown, NJ 07960 • United States

107 Tindall Road Ste 4, Middletown, NJ 07748 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Middletown NJ 01/2010 Present
Private Advisor Group, Llc Middletown NJ 09/2015 Present
Previous Registrations
Other Businesses

1. 12/03/2009: 1406 FINANCIAL - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS). 2. 1/7/2016: 1406 Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 09/15/2015 - 80 Hours Per Month During Securities Trading - IAR - Provide the following advisory services: Financial Planning Services, Portfolio Management for Individuals and Small Businesses, Pension Consulting Services, and Educational Seminars/Workshops. Compensated by advisory services by a percentage of assets under management. 3. 1/7/2016: Private Advisor Group LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 09/15/2015 - 80 Hours Per Month During Securities Trading - Provide the following advisory services: Financial Planning Services, Portfolio Management for Individuals and Small Businesses, Pension Consulting Services, and Educational Seminars/Workshops. Compensated by advisory services by a percentage of assets under management. 4. 3/17/2017 - AnnuityNest - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 03/10/2017 - 10 Hours Per Month During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-02-02
  • S66 Uniform Combined State Law Examination
    2000-02-02
Designations

View on SEC IAPD

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