Joseph Spencer Norris

Employer firm

Private Advisor Group, LLC CRD 155216

$44.3B regulatory AUM 1,033 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2009 → Present
  Lpl Financial, Llc
  Mount Laurel, NJ
• 01/2018 → Present
  Private Advisor Group, Llc
  Mount Laurel, NJ

Previous Registrations

• 2008-01-01 → 2009-08-21
  Wells Fargo Clearing Services, Llc
  Marlton, NJ
• 2005-04-25 → 2008-01-01
  A. G. Edwards & Sons, Inc.
  Marlton, NJ
  Marlton, NJ
  St. Louis, MO

Other Businesses

(1) 01/30/2013: J. Spencer & Company - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) (2) 10/26/2016: Spencer Louis Wealth Management - DBA for LPL Business (entity for LPL business) - Investment Related - 1300 Route 73, Suite 201, Mount Laurel NJ 08054 - Start 08/01/2016 - 10 Hr/Mo; 5 Hour(s) During Securities Trading. (3) 9/25/2019 - Private Advisor Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 08/01/2017 - 160 Hours Per/65 Hours Per Month During Securities Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 09/2019. I expect to spend approximately 160 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) 9/25/2019 - Private Advisor Group - DBA: (Hybrid) J. Spencer & Company - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 08/01/2017 - 160 Hours Per Month/65 Hours During Securities Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 09/2019. I expect to spend approximately 160 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.

Exams

• S66 Uniform Combined State Law Examination
  2005-04-22