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Employer firm

Private Advisor Group, LLC CRD 155216

$44.3B regulatory AUM 1,033 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

Current Employers
Private Advisor Group, Llc

305 Madison Avenue, Morristown, NJ 07960 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-11-06
KY RA APPROVED 2024-01-29
  • TX RA
    APPROVED
    Since 2025-11-06
  • KY RA
    APPROVED
    Since 2024-01-29

Branch Locations

9300 Shelbyville Rd, Ste 915, Louisville, KY 40222 • United States

305 Madison Avenue, Morristown, NJ 07960 • 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
Lpl Financial Llc Louisville KY 05/2023 Present
Navy Norfolk VA 06/2016 04/2019
Navy Virginia Beach VA 04/2019 05/2023
Navy Louisville KY 05/2023 Present
Private Advisor Group, Llc Morristown NJ 01/2024 Present
  • 05/2023 → Present
    Lpl Financial Llc
    Louisville, KY
  • 06/2016 → 04/2019
    Navy
    Norfolk, VA
  • 04/2019 → 05/2023
    Navy
    Virginia Beach, VA
  • 05/2023 → Present
    Navy
    Louisville, KY
  • 01/2024 → Present
    Morristown, NJ
Other Businesses

1) 08/03/2023 - Real Estate Rental - Owner - VA 23462 - Investment related - 2 Hours per month - Start date: 02/01/2020. 2) 08/03/2023 - SunHarbor Wealth Advisors - DBA for LPL Business (entity for LPL business) - Investment related - At reported business location(s) - 160 Hours per month. 3) 04/24/2024 - Private Advisor Group - Registered Investment Advisor - Investment Related - At Reported Business Location(s) - Start Date 04/10/2024 - 40 Hours Per Month/ During Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 4/2024. I expect to spend approximately 40 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 service6s at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 4) 06/11/2024 - Elite Planning - Non-Inv Related - Business Entity For Tax/Investment Purposes Only - Started: 6/11/2024.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-01-24
  • S66 Uniform Combined State Law Examination
    2024-01-24

View on SEC IAPD

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