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Detailed Report
John Matthew Raque
CRD#: 7060854
IA
Investment Adviser
B
Broker
PRIVATE ADVISOR GROUP, LLCCRD#: 155216 9300 Shelbyville Rd, Ste 915
Louisville, KY 40222
LPL FINANCIAL LLCCRD#: 6413 9300 SHELBYVILLE RD STE 915
LOUISVILLE, KY 40222
Registration History
20192020202120222023202420252026IAPRIVATE ADVISOR GROUP, LLC (CRD# 155216)2021 - Present (3 years)BLPL FINANCIAL LLC (CRD# 6413)2019 - Present (6 years)IALPL FINANCIAL LLC (CRD# 6413)2019 - 2022 (3 years)
License(s)

State Registrations

B
California 5/10/2022
B
Kentucky 3/20/2019
B
Florida 12/14/2022
IA
Kentucky 6/15/2021
B
Indiana 9/23/2019
B
Virginia 1/18/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
PRIVATE ADVISOR GROUP, LLC (CRD#:155216)
9300 Shelbyville Rd, Ste 915, Louisville, KY 40222
Registered with this firm since 6/15/2021
B
LPL FINANCIAL LLC (CRD#:6413)
9300 SHELBYVILLE RD STE 915, LOUISVILLE, KY 40222
Registered with this firm since 2/18/2019
Previous Registration(s)
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IA
 03/20/2019 - 07/27/2022 LPL FINANCIAL LLC (CRD#:6413) LOUISVILLE, KY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.