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305 Madison Avenue, Morristown, NJ 07960 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2019-10-02 |
| VA | RA | APPROVED | 2019-10-02 |
Branch Locations
4 Heron Ct, Cape Charles, VA 23310 • United States
305 Madison Avenue, Morristown, NJ 07960 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial, Llc (Formerly: Linsco Private Ledger) | Cape Charles | VA | 04/2000 | Present |
| Private Advisor Group, Llc | Cape Charles | VA | 10/2019 | Present |
1. 7/19/2010 - Cathleen P. McCloy, LLC - Investment Related - Business Entity For Tax/Investment Purposes Only - Time Spent 0% - LLC for business purposes. 2. 8/1/2019 - Thrive Wealth Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 08/01/2019 - 160 Hours Per Month During Securities Trading. 3. 10/23/2019 - Private Advisor Group - DBA: (Hybrid) Thrive Wealth Advisors - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 10/03/2019 - 50 Hours Per Month/35 Hours During Securities Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 10/2019. I expect to spend approximately 50 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. 4. 10/23/2019 - Private Advisor Group, LLC - DBA: (Hybrid) Private Advisor Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 10/03/2019 - 50 Hours Per Month/35 Hours During Securities Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 10/2019. I expect to spend approximately 50 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.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-10-05 |
| S63 | Uniform Securities Agent State Law Examination | 1983-12-07 |
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