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Current Employers
Private Advisor Group, Llc

305 Madison Avenue, Morristown, NJ 07960 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2022-08-04
  • CA RA
    APPROVED
    Since 2022-08-04

Branch Locations

6 Venture, Suite 390, Irvine, CA 92618 • United States

305 Madison Avenue, Morristown, NJ 07960 • United States

La Quinta, CA • 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Irvine CA 09/2009 Present
Ak Financial Group Irvine CA 06/2015 Present
Private Advisor Group, Llc Morristown NJ 07/2022 Present
  • 09/2009 → Present
    Lpl Financial Llc
    Irvine, CA
  • 06/2015 → Present
    Ak Financial Group
    Irvine, CA
  • 07/2022 → Present
    Morristown, NJ
Previous Registrations
  • 2015-07-07 → 2022-12-22
    Ak Financial Group
    Irvine, CA
  • 2003-08-04 → 2009-09-08
    Mutual Service Corporation
    Irvine, CA
  • 1999-08-24 → 2003-08-01
    National Planning Corporation
    Irvine, CA
Other Businesses

(1) 10/28/2009: CHRIS HAGEN, MS, CFP - TAX PREP / ACCOUNTING / BOOKKEEPING - 15% OF TIME SPENT - PREPARATION OF INCOME TAX RETURNS FOR A LARGE PORTION OF MY CLIENTS. ALSO MAY INVOLVE TAX CONSULTATIONS. (2) 10/28/2009: CHRIS HAGEN, MS, CFP - INV REL - AT REPORTED BUSINESS LOCATION(S) - NON-VARIABLE INSURANCE - 20% OF TIME SPENT - SALES. INS TYPES: LIFE, DISABILITY, LONG-TERM CARE, FIXED ANNUITIES (3) 05/26/2015: AK FINANCIAL GROUP - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS) - INV REL - AT REPORTED BUSINESS LOCATION(S) - START 06/01/2015 - 100 HR/MO 75 DURING SECS TRDG HRS (5) 07/21/2015 - UNDER S.J. SCOTT CONSTRUCTION, INC - INV REL - 81684 IMPALA DRIVE, LA QUINTA, CA 92253 - OTHER - NON-BUSINESS - START 07/13/2015 - 0 HOUR PER MONTH - I HAVE BEEN NAMED AS AN 100% BENEFICIARY ON MY BOYFRIEND'S PLAN (6) 08/23/2022 - AK Financial Group - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 11/01/2022 - 130 Hours Per Month/60 Hours During Securities Trading. (7) 08/23/2022 - Private Advisor Group - DBA: AK Financial Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Start Date - 11/01/2022 - 70 Hours Per Month/70 Hours During Securities Trading. (8) 08/23/2022 - Private Advisor Group, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date - 11/01/2022 - 70 Hours Per Month/70 Hours During Securities Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 11/2022. I expect to spend approximately 70 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. (9) 08/01/2024 - Other - Artist - painter - Not Investment Related - Home Based - Start Date 09/01/2024 - 24 Hours per Month/ 0 Hours During Trading

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1991-06-06
  • S63 Uniform Securities Agent State Law Examination
    1991-06-06
Designations
Other Names
  • Christine L Cruz

View on SEC IAPD

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