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305 Madison Avenue, Morristown, NJ 07960 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| VT | RA | APPROVED | 2024-04-09 |
| TX | RA | APPROVED_RES | 2015-10-26 |
| VA | RA | APPROVED | 2013-04-03 |
Branch Locations
305 Madison Avenue, Morristown, NJ 07960 • United States
5516 Falmouth St., Richmond, VA 23230 • United States
Norwich, VT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc (Formerly: Linsco/Private Ledger Corp.) | Richmond | VA | 02/1989 | Present |
| Private Advisor Group, Llc | Richmond | VA | 04/2013 | Present |
1. 5/5/2014: PRIVATE ADVISOR GROUP - DBA: (HYBRID) PRIVATE ADVISOR GROUP - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S) - REGISTERED INVESTMENT ADVISOR DBA - TIME SPENT 60% - CHARGE WRAP FEES. 2. 6/6/2017 - Private Advisor Group, LLC - DBA: (Hybrid) Private Advisor Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 05/17/2010 - 107 Hours Per Month/87 Hours During Securities Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity on 6/5/2017. I expect to spend approximately 5 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. 3. 12/5/2017 - Private Advisor Group - DBA: (Hybrid) Becker Financial Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 05/17/10 - 120 Hours Per Month/100 Hours During Securities Trading - I provide investment advisory services through Private Advisor Group, Inc., an independent investment advisor firm. I started this business activity on 12/05/2017. 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. 4. 3/16/2018 - Fortunam Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 03/01/2018 - 160 Hours Per Month During Securities Trading. 5. 4/5/2018 - Private Advisor Group - DBA: (Hybrid) Fortunam Wealth Management - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 05/17/10 - 120 Hours Per Month/100 Hours During Securities Trading - I provide investment advisory services through Private Advisor Group, LLC, an independent investment advisor firm. I started this business activity on 4/5/2018. 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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1996-11-29 |
| S63 | Uniform Securities Agent State Law Examination | 1983-06-02 |
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