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Current Employers
Private Advisor Group, Llc

305 Madison Avenue, Morristown, NJ 07960 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-06-19
LA RA APPROVED 2022-11-18
TX RA APPROVED_RES 2022-11-17
KY RA APPROVED 2017-06-19
  • FL RA
    APPROVED
    Since 2024-06-19
  • LA RA
    APPROVED
    Since 2022-11-18
  • TX RA
    APPROVED_RES
    Since 2022-11-17
  • KY RA
    APPROVED
    Since 2017-06-19

Branch Locations

305 Madison Avenue, Morristown, NJ 07960 • United States

9300 Shelbyville Rd, Ste 915, Louisville, KY 40222 • United States

Land O Lakes, FL • 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
Fifth Third Bank Louisville KY 07/2010 05/2017
Fifth Third Securities Louisville KY 06/2014 05/2017
Lpl Financial, Llc Louisville KY 06/2017 Present
Private Advisor Group, Llc Louisville KY 06/2017 Present
  • 07/2010 → 05/2017
    Fifth Third Bank
    Louisville, KY
  • 06/2014 → 05/2017
    Fifth Third Securities
    Louisville, KY
  • 06/2017 → Present
    Lpl Financial, Llc
    Louisville, KY
  • 06/2017 → Present
    Louisville, KY
Previous Registrations
Other Businesses

1. 06/13/2017 - SUNHARBOR WEALTH ADVISORS/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 50%/ LOUISVILLE, KY 2. 06/21/2017- Private Advisor Group- DBA: (Hybrid) SUNHARBOR WEALTH ADVISORS- investment related- At reported business location(s)- Registered Investment Advisor DBA-start 6/2/2017- Time spent percent 50%-I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity on 6/21/17. I expect to spend approximately 160 hours/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. 06/21/2017- PRIVATE ADVISOR GROUP, LLC-investment related- At reported business location(s)- Registered Investment Advisor Hybrid-ADVISORY SERVICES PROVIDED BY THE RIA.-start 6/2/2017- Hours per month 160- Time spent percent 100%- I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity on 6/21/17. I expect to spend approximately 160 hours/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. 10/8/2018 - Latitude Capital LLC - Not Investment Related - Home based - Business Entity For Tax/Investment Purposes Only - Start Date:05/01/2017 - 2 Hours Per Month/0 Hours During Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-11-21
S63 Uniform Securities Agent State Law Examination 2014-09-18
  • S65 Uniform Investment Adviser Law Examination
    2016-11-21
  • S63 Uniform Securities Agent State Law Examination
    2014-09-18

View on SEC IAPD

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