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305 Madison Avenue, Morristown, NJ 07960 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 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
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2003-09-12 |
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