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Private Advisor Group, LLC CRD 155216
$44.3B regulatory AUM 1,033 advisory clients
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
305 Madison Avenue, Morristown, NJ 07960 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2017-11-07 |
Branch Locations
200 Clinton Avenue Suite 400, Huntsville, AL 35801 • 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Huntsville | AL | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Huntsville | AL | 11/2016 | 10/2017 |
| Lpl Financial, Llc | Huntsville | AL | 10/2017 | Present |
| Private Advisor Group, Llc | Huntsville | AL | 11/2017 | Present |
1. 11/03/2017 - KEITH NEIGHBORS LLC/ BUSINESS ENTITY FOR TAX, INVESTMENT PURPOSES ONLY/ 0%/ HUNTSVILLE, AL 2. 11/03/2017 - NEIGHBORS WEALTH MANAGEMENT GROUP/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 75%/ HUNTSVILLE, AL 3. 11/7/2017 - Private Advisor Group - DBA: (Hybrid) Neighbors Wealth Management Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date:11/03/2017 - 120 Hours Per Month/8 Hours During Trading - Time Spent: 75% - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity on 11/07/2017. I expect to spend approximately 120 hours/month on this activity. Please see the advisory firms 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. 11/7/2017 - Private Advisor Group LLC - DBA: (Hybrid) Private Advisor Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - Start Date:11/03/2017 - 120 Hours Per Month/8 Hours During Trading - Time Spent: 75% - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity on 11/07/2017. I expect to spend approximately 120 hours/month on this activity. Please see the advisory firms 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. 5. 6/22/2018 - Alliance Group - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date:07/01/2018 - 10 Hours Per Month/0 Hours During Trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-07-13 |
| S63 | Uniform Securities Agent State Law Examination | 1999-06-30 |
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