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1055 Lpl Way, Fort Mill, SC 29715 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-01-10 |
| NJ | RA | APPROVED | 2019-12-18 |
Branch Locations
461 From Rd Ste 385 3Rd Floor, Paramus, NJ 07652 • United States
Pennington, NJ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Hopewell | NJ | 01/2014 | Present |
| Private Advisor Group, Llc | Morristown | NJ | 11/2016 | 12/2021 |
| Prb Wealth Management | New York | NY | 02/2017 | 12/2021 |
(1) 01/17/2014: PTB Financial, LLC - Real Estate Rental - Investment Related - At Reported Business Location(s) - 1% Time Spent - Ownership in property (2) 01/17/2014: New Penn Associates, LLC - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - 35% Time Spent - Fixed, life, health, P&C, disability (3) 11/01/2016: SEI Investments - Non-Variable Insurance Trails Only - Investment Related - At Reported Business Location(s) - Start 09/01/2016 - 1 Hr/Mo; 0 Hour(s) During Securities Trading (4) 11/01/2016: CNL Capital Markets Corp - Non-Variable Insurance - Investment Related - At Reported Business Location(s) - Start 08/29/2016 - 1 Hr/Mo; 0 Hour(s) During Securities Trading - Agent of record for client who holds CNL Healthcare Properties policy. (5) 10/05/2022 - Give to Give - Not Investment Related - Location: Remote - Outside/W-2 Employment - Start Date - 08/24/2022 - 10 Hours Per Month/0 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-09-22 |
| S63 | Uniform Securities Agent State Law Examination | 1994-02-03 |
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