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Current Employers
Private Advisor Group, Llc

305 Madison Avenue, Morristown, NJ 07960 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-07-26
OH RA APPROVED 2016-12-08
  • TX RA
    APPROVED_RES
    Since 2024-07-26
  • OH RA
    APPROVED
    Since 2016-12-08

Branch Locations

5000 Rockside Road Ste. 550, Independence, OH 44131 • 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
Ameriprise Financial Services Inc Independence OH 03/2010 12/2016
Lpl Financial, Llc Independence OH 12/2016 Present
Private Advisor Group, Llc Independence OH 12/2016 Present
  • 03/2010 → 12/2016
    Ameriprise Financial Services Inc
    Independence, OH
  • 12/2016 → Present
    Lpl Financial, Llc
    Independence, OH
  • 12/2016 → Present
    Independence, OH
Previous Registrations
  • 2010-03-29 → 2016-12-12
    Independence, OH
    Cambridge, OH
  • 2009-04-02 → 2010-03-26
    Signator Investors, Inc.
    Broadview Heights, OH
    Independence, OH
Other Businesses

1. 12/8/2106 - INDEPENDENCE FINANCIAL SERVICES LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 12/2/2016 - Time Spent 100%. 2. 12/21/2016 - Private Advisor Group - DBA: INDEPENDENCE FINANCIAL SERVICES, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 12/2/2016 - Time Spent 100% - I provide investment advisory services through PAG, an independent investment advisor firm. I started this business activity in 12, 2016. I expect to spend approximately 100% of time on this activity. Please see the Form ADV of the advisory firm 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. 12/21/2016 - PRIVATE ADVISOR GROUP, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 12/2/2016 - Time Spent 100% - I provide investment advisory services through PAG, an independent investment advisor firm. I started this business activity in 12, 2016. I expect to spend approximately 100% of time on this activity. Please see the Form ADV of the advisory firm 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. 2/23/2017 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 02/08/2017 - 4 Hours Per Month During Securities Trading. 5. 2/23/2017 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 02/07/2017 - 10 Hours Per Month During Securities Trading. 6. 3/21/2018 - Packard General Agency - Investment Related - Address: N/A, do not provide services at the company location. - Non-Variable Insurance - Started 02/27/2018 - 1 Hour Per Month/0 Hours During Securities Trading - Refer clients to the Packard Agency for health insurance. 7. 06/18/2026 - Anglin Acres LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - Cortland, OH - Start Date 01/08/2025 - 10 hours per month/ 0 hours during trading 8. 07/01/2026 - NFP - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start Date 07/01/2026 - 1 hour per month/ 0 hours during trading

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2025-02-24
  • S63 Uniform Securities Agent State Law Examination
    2025-02-24

View on SEC IAPD

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