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305 Madison Avenue, Morristown, NJ 07960 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-07 |
| TX | RA | APPROVED_RES | 2014-01-17 |
Branch Locations
19 Limestone Drive Suite 5, Williamsville, NY 14221 • United States
305 Madison Avenue, Morristown, NJ 07960 • 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 | Williamsville | NY | 12/2013 | Present |
| Private Advisor Group, Llc | Williamsville | NY | 01/2014 | Present |
1. 12/23/2014 - INDEPENDENT PLANNER LLC - Investment Related - At Reported Business Location(s) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - Started 01/31/2002 - 40 Hours Per Month During Securities Trading. 2. 2/19/2015 - PRIVATE ADVISORY GROUP - Investment Related - At Reported Business Location(s) - REGISTERED INVESTMENT ADVISOR HYBRID- IAR - Started 12/03/2013 - 40 Hours Per Month During Securities Trading. 3. 9/15/2020 - Private Advisor Group - DBA: (Hybrid) SASI Inc - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 12/31/2014 - 3 Hours Per Month/0 Hours During Securities Trading - I provide investment advisory services through Private Advisor Group, LLC, an independent investment advisor firm. I started this business activity in 09/2020. I expect to spend approximately 3 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. 4. 9/18/2020 - Kafl - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Started 12/03/2013 - 40 Hours Per Month During Securities Trading. 5. 08/19/2022 - IPLLC, LLC - Not Investment Related - At Reported Business Location(s) - Business Entity For Tax/Investment Purposes Only - Start Date - 07/31/2022 - 5 Hours Per Month/5 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-07-01 |
| S63 | Uniform Securities Agent State Law Examination | 1993-09-01 |
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