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Current Employers
Private Advisor Group, Llc

305 Madison Avenue, Morristown, NJ 07960 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2026-02-04
PA RA APPROVED 2023-08-10
LA RA APPROVED 2017-12-19
  • FL RA
    APPROVED
    Since 2026-02-04
  • PA RA
    APPROVED
    Since 2023-08-10
  • LA RA
    APPROVED
    Since 2017-12-19

Branch Locations

305 Madison Avenue, Morristown, NJ 07960 • United States

Wellington, FL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.) Plainview NY 05/2004 Present
Private Advisor Group, Llc Morristown NJ 09/2017 Present
  • 05/2004 → Present
    Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.)
    Plainview, NY
  • 09/2017 → Present
    Morristown, NJ
Other Businesses

1. 06/10/04 - OUTSIDE SALES OF NON-VARIABLE INSURANCE. 2. 5/23/2017 - DFS Associates Inc. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/01/85 - 5 Hours Per Month During Securities Trading. 3. 6/14/2017 - Diversified Financial Services - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 06/01/17 - 160 Hours Per Month During Securities Trading. 4. 1/3/2019 - Private Advisor Group, LLC - DBA: (Hybrid) Private Advisor Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date: 09/25/2017 - 120 Hours Per Month/45 Hours During Securities Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity on 1/3/2019. I expect to spend approximately 120 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. 5. 06/25/2019 - Private Advisor Group, LLC - DBA:(Hybrid) DFS Associates Inc. - Investment related - At reported business location(s) - Registered Investment Advisor DBA - start date:06/17/2019 - 80 hrs/mo - 70 hrs during trading. 6. 01/08/2024 - DFS Advisor Group, LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 07/31/2023 - 5 Hours Per Month/ During Trading

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1984-10-05
  • S63 Uniform Securities Agent State Law Examination
    1984-10-05
Designations

View on SEC IAPD

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