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305 Madison Avenue, Morristown, NJ 07960 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MI | RA | APPROVED | 2021-11-05 |
| TX | RA | APPROVED_RES | 2012-05-30 |
Branch Locations
305 Madison Avenue, Morristown, NJ 07960 • United States
Lake Ann, MI • United States
2 disclosure categories 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 | Dripping Springs | TX | 02/2012 | Present |
| Private Advisor Group, Llc | Dripping Springs | TX | 03/2012 | Present |
1. 2/22/2012: DJ SMITH FINANCIAL SERVICES - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - 100% OF TIME - OWNER. 2. 9/24/2012: PRIVATE ADVISOR GROUP - Investment Related - At Reported Business Location(s) - REGISTERED INVESTMENT ADVISOR - (HYBRID) FINANCIAL PLANNING SERVICES ARE OFFERED ON AN HOURLY RATE OR FLATE FEE. - TIME SPENT 100%. 3. 5/23/2016: Private Advisor Group - DBA: (Hybrid) DJ Smith Financial Services - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 03/23/2016 - 160 Hours Per Month During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2009-12-17 |
| S63 | Uniform Securities Agent State Law Examination | 1994-02-17 |
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