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Current Employers
Private Advisor Group, Llc

305 Madison Avenue, Morristown, NJ 07960 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-05-19
  • NY RA
    APPROVED
    Since 2021-05-19

Branch Locations

19 Limestone Drive Suite 5, Williamsville, NY 14221 • United States

305 Madison Avenue, Morristown, NJ 07960 • United States

Averill Park, NY • 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
Aig Valic Latham NY 08/2003 09/2017
Self Employed Averill Park NY 08/2000 09/2017
Lpl Financial Llc Williamsville NY 09/2017 Present
Private Advisor Group, Llc Williamsville NY 10/2017 Present
  • 08/2003 → 09/2017
    Aig Valic
    Latham, NY
  • 08/2000 → 09/2017
    Self Employed
    Averill Park, NY
  • 09/2017 → Present
    Lpl Financial Llc
    Williamsville, NY
  • 10/2017 → Present
    Williamsville, NY
Previous Registrations
Other Businesses

1. 10/2/2017 - Independent Planner, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 09/08/2017 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 2. 10/2/2017 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 09/08/2017 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 10% - Life Insurance (term & permanent), Disability, Long Term Care. 3. 10/16/2017 - Private Advisor Group, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 09/08/2017 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity on 10/16/2017. I expect to spend approximately 160 hours/month on this activity. Please see the advisory firms 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. 10/16/2017 - Private Advisor Group - DBA: (Hybrid) Independent Planner, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 09/08/2017 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100% - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity on 10/16/2017. I expect to spend approximately 160 hours/month on this activity. Please see the advisory firms 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. 11/19/2024 - Real Estate Rental - Investment Related - Whitefish, MT - Start Date 11/06/2024 - 10 Hours Per Month/ 0 Hours During Trading

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2003-09-12
  • S63 Uniform Securities Agent State Law Examination
    2003-09-12
Designations

View on SEC IAPD

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