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305 Madison Avenue, Morristown, NJ 07960 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-07-31 |
| CO | RA | APPROVED | 2022-11-23 |
Branch Locations
305 Madison Avenue, Morristown, NJ 07960 • United States
Louisville, CO • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Broomfield | CO | 11/2015 | Present |
| Western Wealth Management, Llc | Broomfield | CO | 04/2017 | 07/2023 |
| Private Advisor Group, Llc | Morristown | NJ | 10/2022 | Present |
1) 2020-06-29 - Smith Investment Advisory - Business Entity For Tax/Investment Purposes Only - Y - at reported business location(s) - 2020-06-15 - 0hrs/mth - 0hrs/mth during trading 2) 2022-11-01 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name. - Integrity Wealth Partners / none - DBA for LPL Business (entity for LPL business) - Y - at reported business location(s) - 2022-10-26 - 160hrs/mth - 160hrs/mth during trading 3) 2022-11-29 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name. - Private Advisor Group, LLC - Registered Investment Advisor DBA - Y - at reported business location(s) - 2022-10-26 - 160hrs/mth - 160hrs/mth during trading - 4) 2022-11-29 - Investment products and services are offered through LPL Financial LLC using the DBA/trade name. - Private Advisor Group, LLC - Registered Investment Advisor Hybrid - Y - at reported business location(s) - 2022-10-26 - 160hrs/mth - 160hrs/mth during trading
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-01-28 |
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