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305 Madison Avenue, Morristown, NJ 07960 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-08-02 |
| TN | RA | APPROVED | 2016-11-10 |
Branch Locations
305 Madison Avenue, Morristown, NJ 07960 • United States
813 South Garden Street, Suite B, Columbia, TN 38401 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2007-01-29 |
| S63 | Uniform Securities Agent State Law Examination | 2006-01-19 |
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