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305 Madison Avenue, Morristown, NJ 07960 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2025-10-03 |
| TX | RA | APPROVED_RES | 2019-04-29 |
| NJ | RA | APPROVED | 2016-06-28 |
Branch Locations
921 Pleasant Valley Avenue, Suite 120, Mt. Laurel, NJ 08054 • 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 | Mt. Laurel | NJ | 09/2009 | Present |
| Private Advisor Group, Llc | Morristown | NJ | 06/2016 | Present |
1. 12/28/2016 - RICHARD P. SHEILDS JR. - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 06/17/2016 - 40 Hours Per Month/30 Hours During Securities Trading. 2. 12/29/2016 - Private Advisor Group, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 06/17/2016 - 120 Hours Per Month/100 Hours During Securities Trading - I provide investment advisory services through Private Advisor Group an independent investment advisor firm. I started this business activity in 06, 2016. I expect to spend approximately 120 hours per month on this activity. Please see the Form ADV of the advisory firm 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. 3. 12/29/2016 - RICHARD P. SHEILDS JR. - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Started 06/17/2016 - 120 Hours Per Month/100 Hours During Securities Trading - I provide investment advisory services through Richard P. Shields Jr. an independent investment advisor firm. I started this business activity in 06, 2016. I expect to spend approximately 120 hours per month on this activity. Please see the Form ADV of the advisory firm 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. 4. 01/08/2024 - Sheilds Holding Company, LLC - Business Entity For Tax/Investment Purposes Only - Not Investment Related - At Reported Business Location(s) - Start Date 06/30/2023 - 5 Hours Per Month/ During Trading
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1999-06-24 |
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