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Current Employers
Private Advisor Group, Llc

305 Madison Avenue, Morristown, NJ 07960 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2024-01-18
TN RA APPROVED 2021-05-25
  • NY RA
    APPROVED
    Since 2024-01-18
  • TN RA
    APPROVED
    Since 2021-05-25

Branch Locations

Webster, NY • United States

305 Madison Avenue, Morristown, NJ 07960 • United States

2031 N Mount Juliet Rd, Ste 200, Mount Juliet, TN 37122 • 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
Wealthpoint Llc (Capital Financial Planning) Albany NY 04/2006 04/2021
Lpl Financial, Llc Franklin TN 08/2016 Present
Private Advisor Group. Llc Franklin TN 05/2021 05/2021
  • 04/2006 → 04/2021
    Wealthpoint Llc (Capital Financial Planning)
    Albany, NY
  • 08/2016 → Present
    Lpl Financial, Llc
    Franklin, TN
  • 05/2021 → 05/2021
    Franklin, TN
Previous Registrations
  • 2017-11-08 → 2021-05-05
    Wealthone, Llc
    Summertown, TN
    Albany, NY
Other Businesses

(1) 6/22/2021 - Private Advisor Group, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 05/24/2021 - 160 Hours Per Month During Securities Trading - I provide investment advisory services through Private Advisor Group, LLC, an independent investment advisor firm. I started this business activity in 6/2021. 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. (2) 7/19/2021 - EPM Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 05/10/2021 - 2 Hours Per Month/0 Hours During Securities Trading. (3) 7/28/2021 - AIB Advisors Insurance Brokers - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 7/30/2021 - 5 Hours Per Month/1 Hours During Securities Trading. (4) 11/15/2021 - Advisors Insurance Brokers - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Agent - Start Date: 10/25/2021 - 2 Hours Per Month/1 Hour During Securities Trading.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2017-11-08
  • S66 Uniform Combined State Law Examination
    2017-11-08

View on SEC IAPD

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