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Current Employers
Private Advisor Group, Llc

305 Madison Avenue, Morristown, NJ 07960 • United States

Current Registrations

AuthorityCategoryStatusDate
MN RA APPROVED 2013-12-09
  • MN RA
    APPROVED
    Since 2013-12-09

Branch Locations

305 Madison Avenue, Morristown, NJ 07960 • United States

1321 Smith Ave, Worthington, MN 56187 • 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 Worthington MN 01/2012 Present
Private Advisor Group, Llc Worthington MN 10/2012 Present
Previous Registrations
  • 2011-04-18 → 2011-07-15
    Askar Advisors Group, Inc.
    Worthington, MN
Other Businesses

1) 07/28/2011: Protecting You and Yours LLC - business owner - Not Investment Related - 3% Time Spent 2) 09/18/2012: Private Advisor Group LLC - Registered Investment Advisor - DBA: Private Advisor Group LLC - Investment Related - At Reported Business Location(s) - 1% Time Spent - (HYBRID) Provide financial planning and asset management for a fee. 3) 01/05/2015: Scott Rall Farms - Farm Land Owner - Investment Related - Nobles County, MN - Start 08/01/2014 - 5 Hr/Mo; 0 Hour(s) During Securities Trading 4) 2/1/2017: No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Started 01/01/2017 - 5 Hours Per Month During Securities Trading. 5) 8/31/2017 - Private Advisor Group LLC - DBA: (Hybrid) Rall Financial Services - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 06/02/2014 - 50 Hours Per Month During Securities Trading - I provide investment advisory services through Private Advisor Group, LLC., an independent investment advisor firm. I started this business activity on 8/28/2017. I expect to spend approximately 50 hours/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. 6) 9/5/2017 - Rall Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/01/2014 - 100 Hours Per Month During Securities Trading. 7) 2/6/2018 - Rall Seeding Service - Not Investment Related - Home Based - Other-prairie restorations - Started 02/15/2018 - 10 Hours Per Month/0 Hours During Securities Trading - Seeding native grasses for prairie restorations on private lands. 8) 3/9/2018 - No Business Name - Not Investment Related - At Reported Business Location(s) - Outside/W-2 Employment Project Manager - Started 1/31/2018 - 10 Hours Per Month/2 Hours During Securities Trading - Contract service provider for Pheasants Forever helping them complete land transactions. 9) 12/12/2018 - No Business Name - Investment Related - 1321 Smith Ave, Worthington, MN 56187 - Real Estate Rental - Landlord - Start Date: 01/01/2019 - 1 Hour Per Month/0 Hours During Securities Trading. 10) 9/13/2021 - No Business Name - Not Investment Related - At Reported Business Location(s) - Outside/W-2 Employment - Newspaper Writer - Started 08/04/2021 - 1 Hour Per Month During Securities Trading - Outdoor writer for the rock county star herald and pope county tribune.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-10-19
S63 Uniform Securities Agent State Law Examination 1991-05-14
  • S65 Uniform Investment Adviser Law Examination
    1999-10-19
  • S63 Uniform Securities Agent State Law Examination
    1991-05-14

View on SEC IAPD

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