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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 2024-08-02
TN RA APPROVED 2016-11-10
  • TX RA
    APPROVED_RES
    Since 2024-08-02
  • TN RA
    APPROVED
    Since 2016-11-10

Branch Locations

305 Madison Avenue, Morristown, NJ 07960 • United States

813 South Garden Street, Suite B, Columbia, TN 38401 • 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 Columbia TN 03/2011 Present
Hwm Llc (Harvest Wealth Management) Columbia TN 12/2014 12/2016
Private Advisor Group, Llc Columbia TN 11/2016 Present
  • 03/2011 → Present
    Lpl Financial Llc
    Columbia, TN
  • 12/2014 → 12/2016
    Hwm Llc (Harvest Wealth Management)
    Columbia, TN
  • 11/2016 → Present
    Columbia, TN
Previous Registrations
  • 2015-07-27 → 2016-12-23
    Hwm Llc
    Columbia, TN
  • 2010-11-02 → 2011-04-05
    Next Financial Group, Inc.
    Houston, TX
    Spring Hill, TN
    Columbia, TN
  • 2007-02-09 → 2010-11-02
    St. Louis, MO
    Spring Hill, TN
Other Businesses

1. 11/28/2011: NO BUSINESS NAME - INV REL - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE - 5% OF TIME SPENT - SELL INS TYPES: LIFE, LONG-TERM CARE, FIXED ANNUITIES 2. 04/20/2016; NO BUSINESS NAME; Notary; NOT INV REL; AT REPORTED BUSINESS LOCATION(S); START DATE 02/21/2014; Notary Public-Notarize documents as needed. No, I sometimes notarize within the business office; 1 HR/MO; 1 HOUR DURING SECS TRADING HOURS. 3. 11/14/2016: Private Advisor Group, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 10/21/2016 - 90 Hours Per Month During Securities Trading - I provide investment advisory services through Private Advisory Group, an independent investment advisor firm. I started this business activity in November 2016. I expect to spend approximately 90 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. 2/14/2019 - Compass Capital Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 02/07/2019 - 10 Hours Per Month/10 Hours During Securities Trading. 5. 2/20/2019 - Private Advisor Group - DBA: (Hybrid) Healthy 401k - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date: 02/07/2019 - 10 Hours Per Month/10 Hours During Securities Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity on 2/20/2019. I expect to spend approximately 10 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. 6. 2/20/2019 - Private Advisor Group - DBA: (Hybrid) Compass Capital Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date: 02/07/2019 - 10 Hours Per Month/10 Hours During Securities Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity on 2/20/2019. I expect to spend approximately 10 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. 7. 06/10/2022 - Kimes Enterprises LLC - Investment Related - Pensacola, FL 32507 - Real Estate Rental - Start Date - 05/04/2022 - 5 Hours Per Month/ 0 Hours During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-01-29
S63 Uniform Securities Agent State Law Examination 2006-01-19
  • S66 Uniform Combined State Law Examination
    2007-01-29
  • S63 Uniform Securities Agent State Law Examination
    2006-01-19
Other Names
  • Bradd Kimes

View on SEC IAPD

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