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305 Madison Avenue, Morristown, NJ 07960 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-05-27 |
Branch Locations
305 Madison Avenue, Morristown, NJ 07960 • United States
28 Railroad Ave Ste 2B, Warwick, NY 10990-1347 • 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 | Warwick | NJ | 09/2003 | Present |
| Private Advisor Group, Llc | Warwick | NY | 07/2011 | Present |
1. 10/1/2004: No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance. 2. 5/2/2006: Ford Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3. 3/15/2011: Warwick Valley Financial Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 4. 9/24/2012: Private Advisor Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Time Spent 90% - (Hybrid) Provide financial planning and asset management for a fee. 5. 9/19/2014: Private Advisor Group - DBA: (Hybrid) Warwick Valley Financial Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 02/02/2011 - 200 Hours Per Month During Securities Trading. 6. 10/30/2019 - K 12 Financial Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 11/01/2019 - 50 Hours Per Month/3 Hours During Securities Trading
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-11-26 |
| S63 | Uniform Securities Agent State Law Examination | 1995-09-06 |
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