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305 Madison Avenue, Morristown, NJ 07960 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-07-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Lpl Financial Llc | Rochester | NY | 03/2023 | Present |
| Private Advisor Group, Llc | Rochester | NY | 03/2023 | Present |
| Retired | Rochester | NY | 12/2020 | 02/2023 |
| Goodwill Of The Finger Lakes | Rochester | NY | 11/2012 | 11/2020 |
1) 05/2023 - Monarch Wealth Management - DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) - 80hrs/month - 50% time spent 2) 08/16/2023 - Private Advisor Group LLC - Registered Investment Advisor Hybrid - Investment Related - At Reported Business Location(s) - Start Date 08/03/2023 - 80 Hours Per Month/ 4 Hours During Trading - I provide investment advisory services through Indepe Private Advisor Group, an independent investment advisor firm. I started this business activity in 8/2023. I expect to spend approximately 80 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 |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2023-06-20 |
| S65 | Uniform Investment Adviser Law Examination | 2021-11-05 |
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