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Current Employers
Private Advisor Group, Llc

305 Madison Avenue, Morristown, NJ 07960 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2022-03-22
MN RA APPROVED 2022-03-16
TX RA APPROVED 2022-03-16
  • FL RA
    APPROVED
    Since 2022-03-22
  • MN RA
    APPROVED
    Since 2022-03-16
  • TX RA
    APPROVED
    Since 2022-03-16

Branch Locations

9800 Shelard Parkway, Suite 220, Plymouth, MN 55441 • United States

Fort Myers, FL • 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 Fort Myers FL 09/2009 Present
Investors Financial Group, Llc Plymouth MN 04/2010 Present
Private Advisor Group, Llc Morristown NJ 03/2022 Present
  • 09/2009 → Present
    Lpl Financial Llc
    Fort Myers, FL
  • 04/2010 → Present
    Investors Financial Group, Llc
    Plymouth, MN
  • 03/2022 → Present
    Morristown, NJ
Previous Registrations
  • 2014-01-13 → 2022-07-25
    Investors Financial Group
    Plymouth, MN
Other Businesses

1. 8/30/2012: NON-VARIABLE INSURANCE - LIFE INSURANCE PRODUCTS - TIME SPENT 5% - PLYMOUTH, MN 2. 04/07/2022 - Private Advisor Group, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Start Date 03/18/2022 - 160 Hours Per Month/ 160 Hours During Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 4/2022. 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. 3. 04/12/2022 - Private Advisor Group - DBA: Investors Financial Group - Investment-Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Start Date - 03/18/2022 - 160 Hours Per Month/160 Hours During Securities Trading - I provide investment advisory services through Private Advisor Group, an independent investment advisor firm. I started this business activity in 4/2022. 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
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1987-11-25
  • S63 Uniform Securities Agent State Law Examination
    1987-11-25
Other Names
  • Rick Anderson

View on SEC IAPD

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