Neil Thomas Hartzog

Current Employers

Private Advisor Group, Llc

305 Madison Avenue, Morristown, NJ 07960 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2024-07-24
FL	RA	APPROVED	2023-03-11
CT	RA	APPROVED	2020-10-08

TX RA
APPROVED

Since 2024-07-24
FL RA
APPROVED

Since 2023-03-11
CT RA
APPROVED

Since 2020-10-08

Branch Locations

21C Arts Center Court, Avon, CT 06001 • United States

305 Madison Avenue, Morristown, NJ 07960 • United States

Jupiter, FL • United States

548 Hopmeadow St, Simsbury, CT 06070 • 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

Organization	City	State	From	To
Private Capital Group, Llc	West Hartford	CT	06/2005	Present
Private Advisor Group, Llc	Morristown	NJ	09/2020	Present

06/2005 → Present

Private Capital Group, Llc

West Hartford, CT
09/2020 → Present

Private Advisor Group, Llc

Morristown, NJ

Previous Registrations

2005-06-08 → 2020-10-08

Wealthspire Advisors

West Hartford, CT
2003-05-05 → 2005-06-06

Voya Financial Advisors, Inc.

North Haven, CT
1999-05-17 → 2003-05-09

Waddell & Reed

Hartford, CT

Other Businesses

1.Mr. Hartzog uses WP Financial as the name of the business under which he provides investment advice through Private Advisor Group, LLC. 2.Mr. Hartzog holds licenses to sell insurance and sells insurance products as an independent insurance agent. This insurance business is separate and apart from Private Advisor Group, and does not include investment advisory services.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-01-05
S63	Uniform Securities Agent State Law Examination	1998-12-16

S65 Uniform Investment Adviser Law Examination

1999-01-05
S63 Uniform Securities Agent State Law Examination

1998-12-16

Designations

Other Names

Neil Thomas Hartzog

View on SEC IAPD