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305 Madison Avenue, Morristown, NJ 07960 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2018-03-13 |
| TN | RA | APPROVED | 2017-11-29 |
Branch Locations
7003 Chadwick Drive, Suite 222, Brentwood, TN 37027 • United States
305 Madison Avenue, Morristown, NJ 07960 • United States
2031 N Mt Juliet Rd, Ste 200, Mount Juliet, TN 37122 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Waddell & Reed, Inc | Nashville | TN | 07/2006 | 11/2017 |
| Various Insurance Carriers For W & R Insurance Agencies | Brentwood | TN | 10/2006 | 11/2017 |
| Lpl Financial Llc | Mt. Juliet | TN | 11/2017 | Present |
| Private Advisor Group, Llc | Mt. Juliet | TN | 11/2017 | Present |
1) 11/03/2017 - EPM Financial - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s) - start: 11/2017 - 160 hr/mth 2) 11/03/2017 - EPM Financial - Non-Variable Insurance - sells: Fixed Annuities, SPIAs, IUL, UL, LTC - inv rel - at reported business location(s) - start: 11/2017 - 15 hr/mth. 3) 11/30/2017 - Private Advisor Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 11/10/2017 - 160 Hours Per Month/7 Hours During Securities Trading - Time Spent 90% - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity on 11/29/2017. I expect to spend approximately 160 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. 4) 10/31/2018 - Private Advisor Group - DBA: (Hybrid) EPM Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 11/10/2017 - 160 Hours Per Month/7 Hours During Securities Trading - Time Spent 90% - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity on 10/31/2018. I expect to spend approximately 160 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.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2006-10-19 |
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