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305 Madison Avenue, Morristown, NJ 07960 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-06-26 |
Branch Locations
4308 Live Oak Lane Suite B, Rocklin, CA 95765 • United States
305 Madison Avenue, Morristown, NJ 07960 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Sacramento | CA | 11/2014 | Present |
| Mariner Independent Advisor Network, Llc | Sacramento | CA | 02/2015 | 02/2019 |
| Private Advisor Group, Llc | Morristown | NJ | 06/2026 | Present |
1. 11/10/2014 - Strategic Wealth Advisors Group, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Time Spent 100%. 2. 5/20/2019 - Rau Financial Strategies - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 01/01/2019 - 40 Hours Per Month/32 Hours During Securities Trading. 3. 12/12/2019 - RFS Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 12/11/2019 - 5 Hours Per Month/1 Hours During Securities Trading. 4. 07/01/2026 - Private Advisor Group - Registered Investment Advisor Hybrid - Investment Related - At Reported Business Location(s) - 160 hours per month/ during trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 5/2026. I expect to spend approximately 160 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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2014-11-24 |
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