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Current Employers
Private Advisor Group, Llc

305 Madison Avenue, Morristown, NJ 07960 • United States

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2013-01-14
  • PA RA
    APPROVED
    Since 2013-01-14

Branch Locations

2851 South Pike Avenue, Suite D, Allentown, PA 18103 • United States

305 Madison Avenue, Morristown, NJ 07960 • United States

Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2008-09-30
  • PA RA
    APPROVED
    Since 2008-09-30

Branch Locations

2851 South Pike Ave "D", Allentown, PA 18103 • 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
Lpl Financial Llc Allentown PA 09/2008 Present
Private Advisor Group, Llc Allentown PA 01/2013 Present
Previous Registrations
  • 2006-05-02 → 2008-12-01
    Harbor Lights Financial Group,Inc
    Allentown, PA
Other Businesses

1. 12/23/2013 - PRIVATE ADVISOR GROUP - REGISTERED INVESTMENT ADVISOR DBA - (HYBRID) PRIVATE ADVISOR GROUP - WE CHARGE WRAP FEES FOR ADVISORY ACCOUNTS AND 401K PLANS. WE ALSO OFFER FINANCIAL PLANS FOR A FEE HOWEVER, WE DO NOT DO ANY AS OF YET. - TIME SPENT 60% - ALLENTOWN, PA 2. 9/30/08 - NOTARY / 1% TIME SPENT / ACTIVITY BEGAN 5/2007. 3. 11/10/2015 * Pinnacle Advisor Group * DBA for LPL Business (entity for LPL business) * INV REL * AT REPORTED BUSINESS LOCATION(S) * START 01/01/2012 * 8 HRS/MO DURING SECS TRDG HRS. 4. 1/6/2021 - Pinnacle Advisor Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - ADMIN. - Started 12/23/2013 - 96 Hours Per Month/6 Hours During Securities Trading - I provide administrative support to Pinnacle Advisor Group, an independent investment advisor firm. I started this business activity in 1/2021. I expect to spend approximately 96 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
S65 Uniform Investment Adviser Law Examination 2005-01-24
S63 Uniform Securities Agent State Law Examination 2004-08-27
  • S65 Uniform Investment Adviser Law Examination
    2005-01-24
  • S63 Uniform Securities Agent State Law Examination
    2004-08-27
Designations
Other Names
  • Diana Marie Colahan
  • Diana Marie Rodebaugh
  • Diana Marie Rodebaugh

View on SEC IAPD

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