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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
PA RA APPROVED 2017-12-21
TX RA APPROVED 2017-12-20
  • PA RA
    APPROVED
    Since 2017-12-21
  • TX RA
    APPROVED
    Since 2017-12-20

Branch Locations

380 Southpointe Blvd, Ste 100, Canonsburg, PA 15317 • United States

305 Madison Avenue, Morristown, NJ 07960 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ameriprise Financial Services, Inc. Canonsburg PA 09/2005 12/2017
Lpl Financial, Llc Canonsburg PA 12/2017 Present
Private Advisor Group, Llc Canonsburg PA 12/2017 Present
  • 09/2005 → 12/2017
    Ameriprise Financial Services, Inc.
    Canonsburg, PA
  • 12/2017 → Present
    Lpl Financial, Llc
    Canonsburg, PA
  • 12/2017 → Present
    Canonsburg, PA
Previous Registrations
Other Businesses

1. 12/19/2017 - JOHN AND ALICE SLUSS IRREVOCABLE INCOME TRUST/ ACT IN A FIDUCIARY CAPACITY/ 1%/ CANONSBURG, PA 2. 12/19/2017 - THE SLUSS ADVISORY GROUP/ DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/ 6%/ CANONSBURG, PA 3. 12/26/2017 - Private Advisor Group, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date 11/17/2017 - 120 Hours Per Month / 6 Hours During Trading - 90% Time Spent - I provide investment advisory services through Private Advisor Group, LLC.., an independent investment advisor firm. I started this business activity in December 2017. I expect to spend approximately 120 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. 4. 11/16/2022 - Private Advisor Group - DBA: The Sluss Advisory Group - Investment Related - At Reported Business Location(s) -Registered Investment Advisor DBA - Start Date - 12/20/2017 - 130 Hours Per Month/130 Hours During Securities Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 11/2022. I expect to spend approximately 130 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
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1990-03-16
  • S63 Uniform Securities Agent State Law Examination
    1990-03-16
Designations
  • Certified Financial Planner

View on SEC IAPD

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