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Current Employers
Private Advisor Group, Llc

305 Madison Avenue, Morristown, NJ 07960 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2015-06-25
  • MN RA
    APPROVED
    Since 2015-06-25

Branch Locations

305 Madison Avenue, Morristown, NJ 07960 • United States

1295 Northland Drive, Suite 215, Mendota Heights, MN 55120 • 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 Mendota Heights MN 01/2012 Present
Private Advisor Group, Llc Mendota Heights MN 05/2015 Present
Other Businesses

1. 03/17/2014 - NO BUSINESS NAME - NON-VARIABLE INSURANCE - INV REL - IF THE OPPORTUNITY ARRISES, I WOULD LIKE TO SELL SOME LIFE INSURANCE OR FIXED ANNUITY PRODUCTS. I AM LICENSED IN THE STATE OF MN, AND HAVE OTHER STATE LICENSES PENDING. I HAVE NOT SOLD ANY OF THESE PRODUCTS AS OF YET - 1% TIME SPENT - BLOOMINGTON, MN 2. 12/17/2019 - Lagom Ridge Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 04/12/2016 - 160 Hours Per Month/160 Hours During Securities Trading. 3. 12/18/2019 - Private Advisor Group - DBA: (Hybrid) Lagom Ridge Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date: 04/12/2016 - 160 Hours Per Month/160 Hours During Securities Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 12/2019. I expect to spend approximately 100 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. 4. 12/18/2019 - Private Advisor Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Investment Advisor Representative - Start Date: 07/01/2015 - 100 Hours Per Month/5 Hours During Securities Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 12/2019. I expect to spend approximately 100 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. 5. 1/15/2020 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 03/17/2014 - 10 Hours Per Month/1 Hour During Securities Trading - Sell life insurance or fixed annuity products. 6. 9/24/2021 - MMB & ASSOCIATES, LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 01/01/2021 - 4 Hours Per Month/2 Hours During Securities Trading. 7. 11/16/2022 - TBM Financial Holdings - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date: 09/30/2022 - 5 Hours Per Month/5 Hours During Securities Trading. 8. 4/12/2023 - No Business Name - Investment Related - At Reported Business Location(s) - Other - Public Notary Commission - Minnesota - Notary Public - Start Date - 04/11/2023 - 1 Hours Per Month/1 Hours During Securities Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-04-21
S63 Uniform Securities Agent State Law Examination 2010-08-24
  • S65 Uniform Investment Adviser Law Examination
    2015-04-21
  • S63 Uniform Securities Agent State Law Examination
    2010-08-24

View on SEC IAPD

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