PRIVATE ADVISOR GROUP, LLC of MORRISTOWN, NJ is an SEC-registered investment adviser (CRD 155216). Regulatory assets under management: $44.3B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Corporations, Other.
| Name | Role | Location |
|---|---|---|
| Moore Joseph | CHIEF EXECUTIVE OFFICER; EXECUTIVE CHAIR | East Elmhurst, NY |
| John Patric Hyland | EXECUTIVE CHAIR; OWNER | — |
| Patrick James Sullivan | EXECUTIVE CHAIR; OWNER | — |
| James Daniel Sullivan | MANAGING DIRECTOR | — |
| James J Perhacs | MANAGING DIRECTOR, CHIEF OPERATING OFFICER | — |
| James Alan Hooks | CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR | — |
| Sean Paul Sullivan | CHIEF LEGAL OFFICER, CHIEF PRIVACY OFFICER | — |
| Franklin R Smith | CHIEF EXECUTIVE OFFICER | — |
| Robert Joseph Moore | EXECUTIVE CHAIR | — |
| Adam J Schorr | CHIEF FINANCIAL OFFICER | — |
| SULLIVAN GERALD PAUL | CHIEF LEGAL OFFICER, CHIEF PRIVACY OFFICER | — |
| SULLIVAN DANIEL | MANAGING DIRECTOR | — |
| SMITH GREGORY R | CHIEF EXECUTIVE OFFICER; HEAD OF ADVISOR GROWTH | — |
| HYLAND JOHN PATRIC | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER, AND MANAGING DIRECTOR; EXECUTIVE CHAIR (+4 more) | — |
| SULLIVAN PATRICK JAMES | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER AND MANAGING DIRECTOR; EXECUTIVE CHAIR (+5 more) | — |
| KOSTER ROBERT KARL | CHIEF COMPLIANCE OFFICER; COMPLIANCE DIRECTOR | — |
| PERHACS JAMES J | MANAGING DIRECTOR; MANAGING DIRECTOR, CHIEF OPERATING OFFICER | — |
| HOOKS JAMES ALAN | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT; CHIEF COMPLIANCE OFFICER, MANAGING DIRECTOR (+1 more) | — |
| ALDRICH ROBERTA LADONNA | CHIEF MARKETING OFFICER AND MANAGING DIRECTOR | — |
| BARONE PETRA | CHIEF FINANCIAL OFFICER | — |
| Coniglio Philip F | CHIEF INFORMATION OFFICER AND CHIEF INFORMATION SECURITY OFFICER | — |
| SCHORR ADAM J | CHIEF FINANCIAL OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-06-10 | regulatory | REGISTRANT ALLEGEDLY FAILED TO PROVIDE FULL AND FAIR DISCLOSURE REGARDING THE CONFLICTS ASSOCIATED WITH SHARE CLASSES WITH NO TRANSACTION FEES, OR NTF SHARES, IN WRAP ACCOUNTS, AND ALLEGEDLY DID NOT FULFILL ITS DUTY OF CARE AND OTHER OBLIGATIONS IN CONNECTION WITH THE CONFLICT. | Final | $5.8M |
| 2017-05-02 | regulatory | FIRM EMPLOYED ONE INVESTMENT ADVISER REPRESENTATIVE IN STATE WHO WAS NOT REGISTERED WITH STATE. | Final | $20K |
| 2011-05-02 | regulatory | THE MINNESOTA DEPARTMENT OF COMMERCE ALLEGED THAT THE REGISTERED REPRESENTATIVE CLAIMED CREDIT FOR CE CREDIT HOURS THAT WERE NOT ACTUALLY COMPLETED IN ORDER TO CONTINUE INSURANCE PRODUCER LICENSURE WITH THE DEPARTMENT OF COMMERCE IN VIOLATION OF MINNESOTA STAT. SECTIONS 45.027, SUBD. 7(A)(1) & (2) A… | Final | $4K |
| — | criminal | — | — | — |