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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 2024-09-12
NJ RA APPROVED 2017-11-14
  • TX RA
    APPROVED_RES
    Since 2024-09-12
  • NJ RA
    APPROVED
    Since 2017-11-14

Branch Locations

305 Madison Avenue, Morristown, NJ 07960 • United States

325 Columbia Turnpike, Suite 309, Florham Park, NJ 07932 • United States

384 Main St, Bedminster, NJ 07921 • United States

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2011-02-18
  • NJ RA
    APPROVED
    Since 2011-02-18

Branch Locations

415 Main Street, Bedminster, NJ 07921 • United States

325 Columbia Tpke Ste 309B, Florham Park, NJ 07932 • United States

384 Main St, Bedminster, NJ 07921 • 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 Florham Park NJ 02/2011 Present
Private Advisor Group, Llc Florham Park NJ 10/2017 Present
Previous Registrations
  • 2009-06-01 → 2011-02-28
    Short Hills, NJ
  • 2004-07-20 → 2009-06-01
    Morristown, NJ
    Morristown, NJ
    Short Hills, NJ
  • 2002-10-28 → 2004-08-16
    Eastern Point Advisors Inc.
    Hoboken, NJ
Other Businesses

1. 02/18/2011: No Business Name - Investment Related - Hoboken, NJ - Real Estate Rental - Time Spent 1% - Rent the one bd condo. 2. 02/18/2011: No Business Name - Investment Related - Hoboken, NJ - Real Estate Rental - Time Spent 1% - One bedroom. rental. 3. 02/18/2011: No Business Name - Investment Related - Hoboken, NJ - Real Estate Rental - Time Spent 1% - 2 bedroom. 4. 9/26/2011: ClearView Investment Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 5. 7/3/2012: CollegeFunding4Me - Not Investment Related - speaker/seminar - Time Spent 10% - Conduct Workshops for parents and college students. - Conducts seminars. 6. 11/7/2016: Cornerstone Producers Group, LLC - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start 11/02/2016 - 5 Hr/Mo; 5 Hour(s) During Securities Trading - Independent Producer: Life, Disability, LTC 7. 6/14/2018 - Main Street Wealth Management, LLC - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date:10/30/2017 - 1 Hours Per Month/1 Hours During Trading. 8. 8/16/2018 - Private Advisor Group - DBA: (HYBRID) Main Street Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 11/01/2017 - 1 Hours Per Month During Securities Trading - Provide financial planning and consulting services. 9. 8/16/2018 - Private Advisor Group - DBA: (Hybrid) ClearView Investment Partners, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 10/30/2017 - 1 Hours Per Month During Securities Trading - Provide advisory services. 10. 8/21/2018 - Private Advisor Group, LLC - DBA: (Hybrid) Private Advisor Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 10/30/2017 - 1 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 8/21/2018. I expect to spend approximately 1 hour/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.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2004-08-09
S66 Uniform Combined State Law Examination 1999-03-02
  • S63 Uniform Securities Agent State Law Examination
    2004-08-09
  • S66 Uniform Combined State Law Examination
    1999-03-02

View on SEC IAPD

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