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Current Employers
Private Advisor Group, Llc

305 Madison Avenue, Morristown, NJ 07960 • United States

Current Registrations

AuthorityCategoryStatusDate
KY RA APPROVED 2021-06-15
  • KY RA
    APPROVED
    Since 2021-06-15

Branch Locations

305 Madison Avenue, Morristown, NJ 07960 • United States

9300 Shelbyville Rd, Ste 915, Louisville, KY 40222 • 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
Lpl Financial, Llc Louisville KY 02/2019 Present
Raque Lawn Service Llc Louisville KY 05/2006 10/2018
Unemployed Louisville KY 10/2018 01/2019
Private Advisor Group, Llc Louisville KY 06/2021 Present
  • 02/2019 → Present
    Lpl Financial, Llc
    Louisville, KY
  • 05/2006 → 10/2018
    Raque Lawn Service Llc
    Louisville, KY
  • 10/2018 → 01/2019
    Unemployed
    Louisville, KY
  • 06/2021 → Present
    Louisville, KY
Other Businesses

1. 4/9/2019 - Raque Properties III LLC - Investment Related - Louisville Ky 40213 - Real Estate Rental - Started 07/01/2014 - 1 Hours Per Month/0 Hours During Securities Trading. 2. 6/22/2021 - Private Advisor Group, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid. 3. 6/22/2021 - Private Advisor Group - DBA: (Hybrid) Sun Harbor Wealth Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 06/10/2021 - 160 Hours Per Month/130 Hours During Securities Trading - I provide investment advisory services through Private Advisor Group, LLC, an independent investment advisor firm. I started this business activity in 6/2021. 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. 7/21/2021 - Sun Harbor Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 06/10/2021 - 160 Hours Per Month/130 Hours During Securities Trading. 5. 10/6/2021 - CM Capital LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Started 09/08/2021 - 1 Hour Per Month During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-03-20
  • S66 Uniform Combined State Law Examination
    2019-03-20

View on SEC IAPD

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