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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-06-16 |
| TX | RA | APPROVED | 2019-02-26 |
Branch Locations
305 Madison Avenue, Morristown, NJ 07960 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-06-20 |
| TX | RA | APPROVED | 2013-03-28 |
Branch Locations
305 Madison Avenue, Morristown, NJ 07960 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Private Advisor Group, Llc | Houston | TX | 03/2013 | Present |
| Pond Wealth Management Llc | Dallas | TX | 02/2013 | Present |
| Lpl Financial Llc | Dallas | TX | 03/2013 | Present |
1. 03/28/2013 - Pond Wealth Management, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - 100% Time Spent. 2. 4/1/2013 - Private Advisor Group - DBA: (Hybrid) Private Advisor Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - 160 Hours Per Month - Time spent 100% - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity on 3/28/2013. I expect to spend approximately 160 hours/month on this activity. Please see the advisory firms 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. 3. 11/8/2016 - Private Advisor Group - DBA: (Hybrid) Pond Wealth Management, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 03/28/2013 - 160 Hours Per Month - Time Spent 100% - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity on 3/28/2013. I expect to spend approximately 160 hours/month on this activity. Please see the advisory firms 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 |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-06-08 |
| S63 | Uniform Securities Agent State Law Examination | 2000-05-23 |
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