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305 Madison Avenue, Morristown, NJ 07960 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MN | RA | APPROVED | 2015-06-25 |
Branch Locations
305 Madison Avenue, Morristown, NJ 07960 • United States
1295 Northland Drive, Suite 215, Mendota Heights, MN 55120 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Mendota Heights | MN | 01/2012 | Present |
| Private Advisor Group, Llc | Mendota Heights | MN | 05/2015 | Present |
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
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-04-21 |
| S63 | Uniform Securities Agent State Law Examination | 2010-08-24 |
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