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305 Madison Avenue, Morristown, NJ 07960 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-06-26 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Menlo Park | CA | 10/2009 | 03/2018 |
| Bank Of America,N.A. | Menlo Park | CA | 06/2011 | 03/2018 |
| Lpl Financial, Llc | San Carlos | CA | 03/2018 | Present |
| Mariner Independent Advisor Network, Llc | San Carlos | CA | 03/2018 | 07/2026 |
| Private Advisor Group, Llc | Morristown | NJ | 06/2026 | Present |
1. 03/29/2018 - Strategic Wealth Advisors Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 12/08/2017 - 140 Hours Per Month/ 7 Hours During Securities Trading - Time Spent 80% 2. 3/29/2018 - The Happiness Book for Men - Not Investment Related - Home Based - Author - Started 10/31/2014 - Time Spent 1%. 3. 3/29/2018 - No Business Name - Not Investment Related - 2207 Pine St San Francisco, CA 94115-2712 - Real Estate Rental - Started 11/1/2006 - Time Spent 1% - Rental Property. 4. 3/29/2018 - The Happiness Book for Kids VOL 2 - Not Investment Related - Home Based - Author - Started 11/30/2014 - Time Spent 1%. 5. 3/29/2018 - The Happiness Book for Kids VOL 1 - Not Investment Related - Home Based - Author - Started 11/30/2014 - Time Spent 1%. 6. 3/29/2018 - The Happiness Book for little Christians - Not Investment Related - Home Based - Author - Started 02/05/2015 - Time Spent 1%. 7. 3/29/2018 - The Happiness Book - Not Investment Related - Home Based - Author - Started 01/10/2017 - Time Spent 1%. 8. 3/29/2018 - Happiness Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 3/31/2018 - 140 Hours Per Month/7 Hours During Securities Trading - Time Spent 80%. 9. 11/20/2024 - Happiness Publishing - Other - Business Owner - Not Investment Related - Various Location(s) - Start Date 01/01/2013 - 5 Hours Per Month/ 1 Hour During Trading 10. 06/29/2026 - Private Advisor Group - Registered Investment Advisor Hybrid - Investment Related - At Reported Business Location(s) - 160 hours per month/ during trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 6/2026. 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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2002-02-25 |
| S63 | Uniform Securities Agent State Law Examination | 1996-03-20 |
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