James Licata

Current Employers

Employment History

• 11/2016 → 05/2017
  Ondot Systems, Llc
  San Jose, CA
• 11/2005 → 11/2016
  Fortinet
  New York, NY
• 08/2017 → 03/2019
  Axa Advisors, Llc
  Stamford, NY
• 02/2019 → 06/2021
  Pruco Securities Llc
  White Plains, NY
• 06/2021 → 06/2023
  Mass Mutual Life Insurance Company
  Elmsford, NY
• 06/2021 → 06/2023
  Mml Investors Services
  Elmsford, NY
• 05/2023 → Present
  Lpl Financial Llc
  Bronx, NY
• 06/2023 → Present
  Private Advisor Group, Llc Dba Aging Issues Management
  Morristown, NJ
• 11/2023 → Present
  Aging Issues Management Llc
  Bronx, NY

Previous Registrations

• 2021-08-10 → 2023-06-12
  Mml Investors Services, Llc
  Elmsford, NY
• 2018-02-22 → 2019-03-15
  Equitable Advisors, Llc
  Stamford, CT
  Cortlandt Manor, NY
  Stamford, CT

Other Businesses

1) 5/19/2023- Joseph L.Soricelli Insurance and Financial Service- DBA for LPL Business (entity for LPL business)- Inv. Related- at reported business location(s)- start date 5/2023 - 80hrs/mth 2) 5/19/2023- Progressive Networks Limited- Business Entity For Tax/Investment Purposes Only- Non-Inv. Related- Cortlandt Manor, NY- start date 1/1/1986 - 10hrs/mth 3) 5/19/2023- Tri State Real Estate Holding RI- Business Entity For Tax/Investment Purposes Only- Non-Inv. Related- Cortlandt Manor, NY- start date 1/1/2017 - 10hrs/mth 4) 5/19/2023- Tresi, LLC- Business Entity For Tax/Investment Purposes Only- Non-Inv. Related- Cortlandt Manor, NY- start date 1/1/2015 - 5 hrs/mth 5) 5/19/2023- Tri State Real Estate Holding NY- Real Estate Rental- owner - Inv. Related- Cortlandt Manor, NY- start date 1/1/2015- 10hrs/mth 6) 5/19/2023- Fountain Head Capital- Business Entity For Tax/Investment Purposes Only- Non-Inv. Related- Cortlandt Manor, NY- start date 4/1/2019 - 5 hrs/mth 7) 06/07/2023 - Private Advisor Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Admin - Start Date 05/29/2023 - 80 Hours Per Month/ 4 Hours During Securities Trading - Time Spent 40% - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 06/2023. 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. 8) 12/19/2023 - Private Advisor Group - Registered Investment Advisor - Investment Related - At Reported Business Location(s) - Start Date 12/04/2023 - 40 Hours Per Month/ 10 Hours During Trading - I provide investment advisory services through Private dvisor Group, an independent investment advisor firm. I started this business activity in 12/2023. 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.

Exams

• S65 Uniform Investment Adviser Law Examination
  2023-12-01
• S66 Uniform Combined State Law Examination
  2017-10-03