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Current Employers
Private Advisor Group, Llc

305 Madison Avenue, Morristown, NJ 07960 • United States

Current Registrations

AuthorityCategoryStatusDate
TN RA APPROVED 2016-03-11
  • TN RA
    APPROVED
    Since 2016-03-11

Branch Locations

305 Madison Avenue, Morristown, NJ 07960 • United States

103 Commerce St, Sevierville, TN 37862 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc Sevierville TN 03/2016 Present
Private Advisor Group, Llc Sevierville TN 03/2016 Present
Previous Registrations
  • 2009-10-27 → 2016-04-07
    Knoxville, TN
    Knoxville, TN
  • 2004-03-18 → 2009-10-26
    Morgan Keegan & Company, Llc
    Knoxville, TN
    Knoxville, TN
    Maryville, TN
    Maryville, TN
Other Businesses

1. 03/11/2016 - CAPITAL WEALTH COUNSEL - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Started 2/29/2016 - 100 Hours Per Month/5 Hours During Securities Trading - Time Spent 100%. 2. 3/31/2016 - Private Advisor Group - DBA: (Hybrid) Capital Wealth Counsel - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 2/29/2016 - 100 Hours Per Month/5 Hours During Securities - TIME SPENT 100%. 3. 3/31/2016 - Private Advisor Group, LLC - DBA: (Hybrid) Private Advisor Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 2/1/2016 - TIME SPENT 100% - Advisory Services provided by the RIA.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2000-10-18
  • S63 Uniform Securities Agent State Law Examination
    2000-10-18

View on SEC IAPD

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