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305 Madison Avenue, Morristown, NJ 07960 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 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
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
(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
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1991-06-06 |
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