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305 Madison Avenue, Morristown, NJ 07960 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| PA | RA | APPROVED | 2014-09-17 |
Branch Locations
305 Madison Avenue, Morristown, NJ 07960 • United States
1620 W Highland St, Allentown, PA 18102 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Allentown | PA | 09/2014 | Present |
| Private Advisor Group, Llc | Allentown | PA | 09/2014 | Present |
(1) 02/26/2015: PRIVATE ADVISOR GROUP, LLC - INV REL - 514 FULLERTON AVENUE, WHITEHALL, PA 18052 - REGISTERED INVESTMENT ADVISOR HYBRID: (HYBRID) PRIVATE ADVISOR GROUP, LLC - START 09/12/2014 - 155 HR/MO ALL DURING SECS TRDG HRS - PORTFOLIO MGMT FOR CLIENTS (2) 2/28/2017 - Penn Mutual - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 01/01/2017 - 2 Hours Per Month During Securities Trading - Life ins. and fixed annuity products. (3) 6/1/2017 - Ascent Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 05/15/2017 - 40 Hours Per Month During Securities Trading. (4) 8/24/2017 - Protective Coating - Investment Related - At Reported Business Location(s) - Non-Variable Insurance-commission trails only - 2 Hours Per Month During Securities Trading. (5) 10/12/2017 - Private Advisor Group - DBA: Ascent Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 05/16/2017 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity on .10/12/2017. I expect to spend approximately 160 hours/month on this activity. Please see the advisory firms 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 |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-09-08 |
| S65 | Uniform Investment Adviser Law Examination | 1999-12-27 |
| S63 | Uniform Securities Agent State Law Examination | 1992-09-22 |
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