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Current Employers
Private Advisor Group, Llc

305 Madison Avenue, Morristown, NJ 07960 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2019-07-01
  • MI RA
    APPROVED
    Since 2019-07-01

Branch Locations

2400 Lake Lansing Rd Ste C, Lansing, MI 48912 • United States

305 Madison Avenue, Morristown, NJ 07960 • 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
Northwestern Mutual Investment Services, Llc East Lansing MI 01/2016 06/2019
Waggoner Group, Inc. East Lansing MI 01/2016 Present
Northwestern Mutual Wealth Management Company Milwaukee WI 11/2016 06/2019
Lpl Financial, Llc Lansing MI 07/2019 Present
Private Advisor Group, Llc East Lansing MI 07/2019 Present
  • 01/2016 → 06/2019
    Northwestern Mutual Investment Services, Llc
    East Lansing, MI
  • 01/2016 → Present
    Waggoner Group, Inc.
    East Lansing, MI
  • 11/2016 → 06/2019
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 07/2019 → Present
    Lpl Financial, Llc
    Lansing, MI
  • 07/2019 → Present
    East Lansing, MI
Other Businesses

1. 7/1/2019 - Waggoner Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 6/18/2019 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 2. 7/1/2019 - No Business Name - Investment Related - Home Based - Other-Notary - Started 04/13/2018 - 1 Hour Per Month/0 Hours During Securities Trading - Time Spent 0%. 3. 7/9/2019 - Private Advisor Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Started 6/10/2019 - 160 Hours Per Month/8 Hours During Securities Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity on 7/9/2019. 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. 4. 12/07/2023 - Waggoner Group, Inc. - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - President - Started 09/22/2020 - 20 Hours Per Month/10 Hours During Securities Trading. 5. 03/21/2024 - Waggoner Group, Inc. - Inv Related - At Reported Business Location(s) - Non-Variable Insurance - President - Started: 11/30/2023 - 20 Hrs/mo; 10 hrs During Trading.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2015-09-25
  • S63 Uniform Securities Agent State Law Examination
    2015-09-25
Designations
Other Names
  • Kiley A Hook

View on SEC IAPD

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