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Current Employers
Private Advisor Group, Llc

305 Madison Avenue, Morristown, NJ 07960 • United States

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2019-02-27
  • WI RA
    APPROVED
    Since 2019-02-27

Branch Locations

305 Madison Avenue, Morristown, NJ 07960 • United States

2711 Allen Blvd, Suite 322, Middleton, WI 53562 • United States

Waunakee, WI • 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
Rock Harbor Llc Birmingham MI 09/2016 12/2018
Foreside Fund Services, Llc Birmingham MI 09/2016 12/2018
Marketplace Homes Livonia MI 03/2016 09/2016
Private Advisor Group, Llc Morristown NJ 12/2018 Present
  • 09/2016 → 12/2018
    Rock Harbor Llc
    Birmingham, MI
  • 09/2016 → 12/2018
    Foreside Fund Services, Llc
    Birmingham, MI
  • 03/2016 → 09/2016
    Marketplace Homes
    Livonia, MI
  • 12/2018 → Present
    Morristown, NJ
Other Businesses

1. 4/24/2019 - DBA for LPL Business (entity for LPL business) - Source Financial - Madison, WI 2. 06/19/2019 - Private Advisor Group - Investment related - At reported business location(s) - Registered Investment Advisor DBA - DBA:(Hybrid) Source Financial - IAR - Start date:12/2018 - 160 hrs/mo - 130 hrs during. 3. 06/19/2019 - Private Advisor Group - Investment related - At reported business location(s) - Registered Investment Advisor Hybrid - IAR - Start date:12/2018 - 160 hrs/mo - 130 hrs during trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 12/2018. I expect to spend approximately 160 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. 11/10/2022 - One Light Enterprise, LLC DBA Source Financial - Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Start Date: 11/01/2022 - 160 Hours Per Month/130 Hours During Securities Trading.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-02-27
S63 Uniform Securities Agent State Law Examination 2016-10-24
  • S65 Uniform Investment Adviser Law Examination
    2019-02-27
  • S63 Uniform Securities Agent State Law Examination
    2016-10-24
Other Names
  • Dulce Frost
  • Maria Frost
  • Maria Dulce Frost
  • Maria Dulce Montilla-Frost

View on SEC IAPD

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