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Current Employers
Private Advisor Group, Llc

305 Madison Avenue, Morristown, NJ 07960 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2024-10-03
  • MI RA
    APPROVED
    Since 2024-10-03

Branch Locations

305 Madison Avenue, Morristown, NJ 07960 • United States

12930 S West Bay Shore Drive, Traverse City, MI 49684 • 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
Shady Lane Winery Traverse City MI 07/2008 09/2024
Wells Fargo Advisors Llc Traverse City MI 11/2011 11/2016
Wells Fargo Clearing Services, Llc Traverse City MI 11/2016 09/2024
Lpl Financial Llc Traverse City MI 09/2024 Present
  • 07/2008 → 09/2024
    Shady Lane Winery
    Traverse City, MI
  • 11/2011 → 11/2016
    Wells Fargo Advisors Llc
    Traverse City, MI
  • 11/2016 → 09/2024
    Traverse City, MI
  • 09/2024 → Present
    Lpl Financial Llc
    Traverse City, MI
Previous Registrations
Other Businesses

1 - 07/2024 - Elemint Wealth Management - DBA for LPL Business (entity for LPL business) - Inv Related - 160 Hours/Month - At reported business location(s). 2- 09/10/2024 - Private Advisor Group - Registered Investment Advisor - Admin - Investment Related - At Reported Business Location(s) - Start Date 08/02/2024 - 160 Hours Per Month/ 8 Hours During Trading - I provide administrative support to Private Advisor Group, an independent investment advisor firm. I started this business activity 9/2024. I expect to spend approximately 160 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. 3- 09/10/2024 - Elemint Wealth Management - Registered Investment Advisor DBA - Admin - Investment Related - At Reported Business Location(s) - Start Date 08/02/2024 - 160 Hours Per Month/ 8 Hours During Trading - I provide administrative support to Private Advisor Group, an independent investment advisor firm. I started this business activity 9/2024. I expect to spend approximately 160 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.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2012-06-04
  • S66 Uniform Combined State Law Examination
    2012-06-04

View on SEC IAPD

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