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Current Employers
Private Advisor Group, Llc

305 Madison Avenue, Morristown, NJ 07960 • United States

Current Registrations

AuthorityCategoryStatusDate
DE RA APPROVED 2015-10-14
  • DE RA
    APPROVED
    Since 2015-10-14

Branch Locations

220 Continental Dr, Ste 207, Newark, DE 19713 • United States

305 Madison Avenue, Morristown, NJ 07960 • 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
Lpl Financial, Llc. Wilmington DE 12/2003 Present
Private Advisor Group, Llc Morristown NJ 10/2015 Present
Previous Registrations
  • 1994-01-14 → 2003-12-19
    Legg Mason Wood Walker, Incorporated
    Newark, DE
Other Businesses

1) 09/17/2010 - DBA for LPL Business (entity for LPL business) * Hickory Financial Group, LLC * inv rel. * at reported business location(s) 2) 05/10/2016 * Private Advisor Group LLC * Registered Investment Advisor Hybrid * (Hybrid) Private Advisor Group * inv. rel * at reported business location(s) * Provide financial advice through hybrid RIA. * start 10/09/2015 * 180 hrs/mo during secs. trdg. hrs. 3) 11/8/2016: Private Advisor Group - DBA: (Hybrid) Hickory Financial Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 10/09/2015 - 160 Hours Per Month/40 Hours During Securities Trading - I provide investment advisory services through Private Advisor Group an independent investment advisor firm. I started this business activity on 11/8/16. 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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-01-12
S63 Uniform Securities Agent State Law Examination 1983-05-05
  • S65 Uniform Investment Adviser Law Examination
    1995-01-12
  • S63 Uniform Securities Agent State Law Examination
    1983-05-05
Other Names
  • Lindsay Jean Davis

View on SEC IAPD

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