LPL Registered Principal, Compliance Specialist
Michael joined Private Advisor Group in June 2018 as an LPL Registered Principal after spending almost 15 years in various compliance roles with a large insurance company. He spent the majority of his time as a member of Agency Management handling OSJ compliance functions such as branch office exams and suitability reviews.
A New Jersey native from Delran, Michael currently resides in Williamstown, NJ with his daughter Isabella.
Education: BS, University of New Orleans – Finance
Licenses held with LPL Financial: 7, 6, 24, 26, and 63. Additional Licenses held in Life and Health Insurance.
Client Services Associate
Denise brings over eight years of experience in sales and client services to fortune 100 companies in all major markets, with an emphasis on Staffing and Recruitment in both technology consulting and Administrative Support services.
Denise joins the Private Advisor Group in a Client Services capacity. She interfaces with the Compliance and Transition teams to ensure optimal service for our Advisors. Denise resides in Morristown, NJ with her two teenagers and a large Goldendoodle, Charlotte. She enjoys performing community service and volunteering on committees in the Morris School District.
Education: B.A. in communications, University of Hartford
LPL Registered Principal, Compliance Specialist
Dick Wagner joined Private Advisor Group in April 2010 as an OSJ delegate and compliance specialist. In these roles, Dick is responsible for reviewing and approving variable annuity transactions, alternative investment purchases and new accounts, as well as performing non-OSJ office audits.
Dick brings a unique perspective to the compliance team at Private Advisor Group. While attending Kansas State University, Dick worked as a sports writer for The Kansas City Star. After earning dual degrees, he joined AT&T as a sales executive, the start of a 24-year career in sales and sales management. While with AT&T, Dick served as national account manager for several global clients, managed a team of sales executives and held multiple sales operational positions at AT&T Headquarters. He is a four-time recipient of the Leader’s Council award, which recognizes the top 2 percent of all sales positions.
After retiring from AT&T, Dick transitioned into the financial advisory industry, passing his securities exams and joining Langdon Ford Financial in September 2004. After 18 months, he felt secure enough to go independent and joined the Morristown Financial Group in April 2006.
Dick is active in his local church and was honored with the Paul Harris award from the Whippany, NJ, Rotary Club. He resides in Hanover Township with his wife, Peggy, and daughter, Kristin.
Education: BS in business administration and BS in journalism, Kansas State University
Registrations Held with LPL Financial: FINRA Series 7, 66, 24
Bob Vogt joined Private Advisor Group as a Compliance Specialist in August of 2015.
Bob began his career at Merrill Lynch in 1980 after completing their broker training. After a 3 year stint, he moved to Shearson American Express where he was a VP Financial Advisor in the retail system for 19 years. In that role he managed client assets as a financial advisor. In 2004, he joined the Palladin Group, a convert arb hedge fund, where he was director of marketing. Looking for a change, in 2007, Bob took a hiatus from the investment world and opened a gourmet deli and fine wine store with a partner in Roseland, NJ. After 8 years as a business owner in the restaurant trade, he decided to reenter the financial services industry by joining Capital Asset Investment, where he traded IPO Secondary’s and preferred.
Education: Bob received his BA in Economics from the University of Richmond and an MBA from Fordham University.
Accounting and Commissions
Mimi Tahan joined Private Advisor Group in 2001 as a client service associate. With a desire to pursue new responsibilities, Mimi became a member of the transitions team in 2011 and later joined the accounting team in 2017. As a member of the Accounting Team, Mimi is responsible for the company’s A/R and A/P transactions as well as assisting with the processing of advisor commissions.
Mimi started her career as an implementation manager and systems engineer for a large telecommunications firm, eventually “retiring” to raise three children. After 11 years, Mimi returned to the workforce, serving in a number of financial accounting roles. Mimi has three grown children. She currently resides in Morristown, NJ, with her husband.
Education: BS in business management and administration, Fairleigh Dickinson
RIA Registration, Legal Counsel
Sean Sullivan joined Private Advisor Group in 2012 and currently serves as compliance officer, focusing on hybrid compliance and legal issues. Prior to joining Private Advisor Group, Sean spent over 20 years practicing law, gaining experience in both civil and criminal litigation.
Sean is a member of the Township of Verona Zoning Board of Adjustment. Along with his wife, Janet, he enjoys driving his five children all over the place to their ballet, marching band/color guard, ice hockey, crew and speech contests.
Education: BA in government, Cornell University; JD, New York Law School
Registrations Held with LPL Financial: FINRA Series 7, 24, 66
Kevin Sullivan joined Private Advisor Group in September 2015 as compliance director. Kevin comes to Private Advisor Group with 25 years of financial market experience, concentrated in fixed income, OTC options and derivatives markets. Prior to joining Private Advisor Group Kevin was with Newedge USA/Societe Generale as part of a relative value trading group. It was there he gained much experience about the financial markets and specifically fixed income.
Before entering the financial markets Kevin served as a Captain in the United States Marine Corps.
Kevin comes from a Penn State family. Both he and his wife Cindy are graduates. His son William is also a graduate of the school and his daughter Morgan is presently attending.
Active in his community, Kevin serves as a member of the Parish Council of St. Patrick’s Church and School in Chatham, where he has been very involved in the school’s athletic program. Kevin also serves as a member of the Chatham Jaycees and Library Board of Trustees. He is a member of the Catskill Mountain 3500 Hiking Club and a regular in the stands at Penn State football games.
Education: BA, Pennsylvania State University
Registrations held with LPL Financial: Series 3, 7, 24, 63
Annie Sullivan joined Private Advisor Group in July 2012 as a summer intern, working with the compliance and transition services departments and gaining a broad understanding of the supervisory process. After graduating from Boston College in May 2013, Annie joined the transition services team and currently works with new advisors who are joining PAG.
Prior to joining Private Advisor Group, Annie spent two summers as an intern at Good Grief in Morristown, NJ, a non-profit that provides support groups for children and families who have lost a parent or sibling. Her responsibilities included creating media and organizing various events and fundraisers.
Annie lives in Verona, NJ.
Education: BA in psychology and Chinese, Boston College
Danielle Petrullo joined Private Advisor Group in July 2015 as a marketing associate. In that role, she supports the marketing department by developing graphics and layouts for product illustrations, and manages the company website. Prior to joining Private Advisor Group, Danielle worked as a contract graphic designer for Penn Mutual insurance company, located in Horsham, PA, and for Hamilton Lane, a private markets investing company located in Bala Cynwyd, PA. She has also worked as a Marketing Coordinator for a software company located outside of Philadelphia.
Danielle is originally from the PA suburbs of Philadelphia but moved to NJ with her husband just before starting her position with Private Advisor Group. She currently resides in Hackettstown, NJ.
Education: BA in Art and Design, BS in Media Communications and Technology, East Stroudsburg University
LPL Registered Principal, Compliance Specialist
As a native of Poland, Klaudia Maslo moved to United States at the age of 17 in pursuit of living the American Dream. She has been working toward achieving and maintaining that dream ever since. Klaudia started her career in financial services in April of 2000, working for Summit Financial Resources as an Investment Coordinator. In 2004, Ms. Maslo joined Private Advisor Group as a sales assistant to the two managing partners.
Klaudia continued to expand her role within Private Advisor Group and currently wears multiple hats.
“My experience in servicing advisors’ clients has also helped me really understand the infrastructure support advisors need. In my role as part of the compliance team, the operations team and a licensed advisor, I get to bring a host of viewpoints to the table that enables us to serve our advisors and our retail clients better.”
AA, Liberal Arts, Hudson County Community College
BS, Business Management, Rutgers University
Registrations Held with LPL Financial: FINRA Series 7, 66, 24
John “Jay” Hoh
Jay Hoh brings over 30 years of experience in consumer products marketing to his role as transition services specialist with Private Advisor Group. Working as a problem solver and turnaround specialist for smaller companies, Jay managed marketing for a wide array of products and services—from over-the-counter drugs and toiletries to giftware and home improvement products—finishing his marketing career with AT&T’s prepaid products operations.
Jay first encountered Private Advisor Group six years ago when he helped his brother in law, David Crooks, make the transition to PAG independent representative. After completing the account transition work for Dave, Jay joined the transition services team at the Morristown office.
Jay resides on 30 acres near the Delaware Water Gap in western New Jersey with his wife, Sallie, their horses and an assortment of other pets.
Education: BS in advertising/marketing, Northwestern University, Medill School of Journalism
Karen Hayes brings nine years of experience working in sales and marketing for insurance premium finance companies to her role as marketing associate with Private Advisor Group.
Karen’s entrepreneurial spirit led her to start a catering business from her home in 2001. In 2007, she translated her love for cooking into a restaurant in Chatham, New Jersey, called Supper. Karen continued to run Supper for four years before the restaurant closed its doors in 2013. Eager to return to marketing and financial services, Karen joined the Private Advisor Group team in March of 2014.
Karen and her husband Tim live in Chatham, NJ. They have four sons: Timmy, Cory, Brendan and Justin. With so many boys in the house, Karen insisted on having a female dog— Ruby!
Education: BS in business management, Green Mountain College
Julie Galbraith joined Private Advisor Group in 2009 as an administrative assistant and has since expanded her role to include compliance support. As a compliance liaison, Julie performs a myriad of compliance functions, including helping our advisors navigate through the audit process, clearing of paperwork issues and helping our advisors with general compliance procedure.
Prior to joining Private Advisor Group, Julie spent three years in Hawaii and a year living abroad in Sicily. Born in Omaha, Nebraska, she moved to New Jersey in 2009 and currently resides in Morristown.
LPL Registered Principal and Associate Partner to Pat Sullivan and John Hyland
Kyle Colwell is a registered principal and financial advisor with Private Advisor Group and LPL Financial.
Kyle joined Private Advisor Group in April of 2011 as a member of the transition team and has since held various roles within the organization. In his time with Private Advisor Group Kyle has held various roles in compliance, operations, and business development. He currently serves as a junior advisor to both Pat Sullivan and John Hyland. In this capacity, Kyle handles financial plans, client servicing and retirement planning for clients.
Kyle resides in Morristown, NJ. When he is not working, Kyle tries to spend as much time as possible outside. He is an avid fly-fisherman and skier. He also enjoys paddle tennis and watching New York Rangers hockey.
Education: BA History, University of Vermont
Registrations Held with LPL Financial: FINRA Series 7, 24, 66. Additional licenses in life, health, and long-term care insurance.
Tim Byrne joined the Private Advisor Group transitions team in October of 2012. In his role as transition services specialist, Tim helps new reps transition to Private Advisor Group and assists users with technology issues. Tim brings over 25 years of experience in the engineering world, most recently as a software services consultant.
Tim resides in Morris Township, NJ, with his wife, Maureen, and their two children.
Education: AAS in computing graphics technology, Alfred State College
Director, Accounting and Commissions
Petra Barone joined Private Advisor Group in February 2011 as a client service associate, transitioning to become the in-house accountant in January 2013. Petra brings more than 25 years of accounting experience to her role as Director of Accounting and Commissions.
Petra previously worked with Coopers & Lybrand—one of the “big eight” accounting firms—an experience that provided her with a diverse knowledge of various industries, with a focus on foreign banks and hospitals. She eventually left Coopers & Lybrand to become the general accounting and reporting manager for Häagen-Dazs. After her first daughter was born in 1996, Petra resigned from Häagen-Dazs to work on consulting projects. For the past 20 years, she has also worked part-time for a retirement consulting firm that provides third-party administration and retirement plan design.
Petra is an active volunteer, serving as a chairperson on several committees at her daughters’ school and in the community. She lives in Morristown, NJ, with her husband and their two teenage daughters.
Education: BS in accounting, Rutgers University
Designations: CPA (inactive), State of NJ
Director, Advisor Advocacy
One of the original “Fast Money Five” on CNBC’s Fast Money and Chief Market Strategist and Director of Advisor Advocacy for Private Advisor Group, Guy is an independent trader, a champion for independent financial advice, a TV personality and a veteran financial services leader. In his current role he is advocating for financial advisors to choose the independent business model and helping them get there.
Guy has held numerous key leadership roles in the financial services industry. He began his career at Drexel Burnham Lambert in 1986 and was quickly promoted to vice president and head gold trader at the firm. He then joined Goldman Sachs in 1996 as the head gold trader and one of the many proprietary traders within the Fixed Income Currency and Commodity division. In the spring of 2000, Adami joined the U.S. Equities division of Goldman Sachs where he was put in charge of the firm’s Industrial/Basic Material group. Adami also served as executive director at CIBC World Markets in 2003 in the U.S. Equities division where he was head of the sector in charge of the Industrial/Basic Material group.
Born and raised North Tarrytown, NY, Guy now resides in Morristown, NJ, with his wife, Linda, and their three children. When he is not at the office, he enjoys spending time with his family.
EDUCATION: BS, Georgetown University
Co-Founder, PAG, Managing Director
John Hyland, CFP
John Hyland is one of the co-founders of Private Advisor Group and brings over 25 years of experience working in the financial services industry to his role as managing director. John’s expertise lies in helping other independent advisors realize their dreams of building a successful advisory practice by leading the way in creating a platform that can fully support them.
John began his career in 1990 with American Express Financial Advisors, where he focused on retirement and estate preservation planning and asset management. He ascended through the ranks to hold the position of district manager and platinum financial advisor. Wanting to give his clients a greater choice of products and services, John partnered with Linsco/Private Ledger in late 1997 and created Morristown Financial Group.
A short while later, John recognized the need for other independent advisors to find a solution to support their compliance burden’s and Private Advisor Group was born. John was largely responsible for growing the RIA from its inception to where it is today – a network of over 600 advisors managing more than 16B in AUM. John is still instrumental in the business development of the RIA as well as developing new strategic initiatives for the firm.
John is actively involved in his community and philanthropy. He is a trustee of the Leukemia and Lymphoma Society and president of the board for the Leukemia Society of New Jersey. He has also served as Grand Marshall and the major gifts finance chairman of the Morris County St. Patrick’s Day Parade, chaired the finance committee as a member of the Shakespeare Theatre of New Jersey’s board of trustees, is an active member of the board for the Mayo Performing Arts Center and the Invest in Others charitable organization.
Born and raised in Morristown, John resides there with his wife, Kristin, and their three children, Kieran, Patrick and Kelsey. He is an active runner and triathlete and has raced in the New York Marathon and completed the Ironman eleven times since 2000.
Education: BA, St. Bonaventure University
Registrations Held with LPL Financial: FINRA Series 7, 24, 63
Designations: Certified Financial Planner (CFP®)
Co-Founder, PAG, Managing Director
Patrick J. Sullivan
Patrick Sullivan brings over 30 years of experience in financial services to his role as co-founder and managing director with Private Advisor Group. Patrick is a true visionary, having seen and participated in tremendous changes in the advisory industry over the course of his career.
Patrick began his career in 1984 with NYNEX (now Verizon), serving in various management operations and finance positions. After earning his MBA in 1994, he decided to change careers and became a financial advisor with American Express Financial Advisors. In 1997, wanting to offer his clients a wider selection of products and services, Patrick partnered with LPL Financial and created Morristown Financial Group.
Just a few years later, Patrick recognized the need to deliver a superior compliance solution for other independent advisors and the concept of Private Advisor Group was born. Patrick served as the Chief Compliance Officer for the newly formed RIA from its inception and was directly responsible for building the proprietary compliance technology program that empowers advisors to conduct their compliance processes simply and seamlessly. Patrick is actively involved in the overall strategic direction of the organization and the day to day operations.
An active community participant, Patrick serves on the board of directors for the past 10+ years for Good Grief Inc., a non-profit that provides peer support groups for families who have lost a parent or sibling. He won the Invest in Others Lifetime Achievement Award for his work with Good Grief. He is also a treasurer of the Board of the Actors Center, a non-profit dedicated to the theater.
Born and raised in Brooklyn, NY, Patrick now resides in Morristown, NJ, with his wife, Pam, and two of their three children, Patrick, Fallon and Callie.
Education: BA, State University of New York at Albany; MBA, Fordham University
Registrations Held with LPL Financial: FINRA Series 4, 7, 24, 31, 53, 63
Designations: Certified Financial Planner (CFP®), Chartered Financial Consultant® (ChFC®)
James Sullivan joined Private Advisor Group in May 2011 as a member of the compliance team. In his current role as managing director, James works on custodial and third-party manager operations for Private Advisor Group’s RIA.
James’s Wall Street career started as a summer job in the mailroom at Stuart, Colemen & Co., Inc., where he eventually became Controller in 1997. When the firm merged with Investec Ernst & Co., James transitioned into the position of Operations Supervisor.
In 2002, James participated in a management buyout of Investec Ernst’s Private Client Group. He became the Branch Manager for Maxim Group’s Private Client Group at the firm’s headquarters in the Chrysler Building in New York City.
James is married and has two adult daughters. He serves on the board of his grammar school, St. Catherine–St. Therese Catholic Academy, and is Co-Class Chair of the Regis High School Annual Fund.
Education: BA in English, State University of New York at Albany
Registrations Held with LPL Financial: FINRA Series 7, 8, 24, 27, 63, 65
Jim Perhacs is a managing director at Private Advisor Group and registered principal with LPL Financial. Jim joined Private Advisor Group in 2001 and has been with the firm since its infancy.
His long-standing tenure at Private Advisor Group and LPL enables Jim to work with advisors on both LPL and Private Advisor Group operations, compliance and practice management. He also helped design and implement the transition team in 2007 and plays a key role in advisor recruiting and transitions. Prior to joining Private Advisor Group, Jim spent two years at Morgan Stanley Smith Barney, where he was responsible for client relations and portfolio analysis.
Born and raised in Mt. Arlington, NJ, Jim now resides in Long Valley, NJ, with his wife, Aimee, and their three children. When not at the office, he enjoys cycling and spending time with his family.
Education: BS, Kutztown University
Registrations Held with LPL Financial: FINRA Series 7, 24, 31, 63, 65. Additional licenses in life and health insurance.
Executive Vice President, Chief Compliance Officer
Jim Hooks joined Private Advisor Group in January 2019 as Executive Vice President, Chief Compliance Officer.
Jim brings over 30 years of experience in financial services and compliance to Private Advisor Group. Most recently, Jim was Senior Vice President of Compliance, Legal and Risk at LPL Financial. During his 14 year tenure at LPL Financial, Jim served in various aspects of compliance and supervision. Primarily, he had leadership responsibility for the branch exam program with a team of more than 100 engaged employees. Under Jim’s leadership, the branch exam program was transformed for an overall positive impact, creating a comprehensive and robust program to appropriately identify and manage risk. At the same time, the team would often receive compliments from advisors for the approach and value provided during a branch exam. Prior to LPL, Jim had an invaluable 18-year career in compliance at Raymond James that spanned a variety of compliance and supervisory functions. He progressed through the ranks and served as Vice President of Compliance, where he had broad responsibilities for the compliance program.
Appreciating the opportunity to work with many advisors throughout his career, Jim helps advisors navigate the complexities of compliance and provides practical guidance to protect the interest of investors, advisors and the organization. As background, Jim’s mom was the head of the IRA department at a credit union when individual retirement accounts where first created and she always instilled the value of saving and investing. Jim recognizes the value advisors bring to their clients and is constantly looking for ways to make it easier for advisors to comply with requirements and do business that is in the best interest of their clients.
Jim is a member of the National Society of Compliance Professionals (NSCP)
He resides with his wife, Cheryl and their teenage daughter, Morgan, (who unlike Jim, can be the life of the party).
Education: BA in Business Administration, University of South Florida
Registrations held with LPL Financial: FINRA Series, 4, 7, 9, 10, 24, 63, 66
Designations: FINRA Institute at Wharton – Certified Regulatory and Compliance Professional (CRCP)
Managing Director, Chief Marketing Officer, Chief Human Resources Officer
Berta Aldrich joined Private Advisor Group in June of 2019 as the Chief Marketing Officer and Chief Human Resources Officer. In her role, Berta is responsible for overall marketing efforts including marketing strategy, branding, media relations, digital marketing, strategic partnerships, data & analytics, research, events, and business intelligence. She also assumes responsibilities for all aspects of human resources.
Berta started her career at Principal in the select management program and during her 13-year tenure led departments responsible for marketing, financial education, operations and underwriting in the Group Health and Pension divisions. In 2004, she accepted the Head of R&D position at Vanguard and over the next 11 years held executive marketing and leadership positions serving advisors, institutional plan sponsors, and investors. In 2015, she was named the CMO at FS Investments where she led the strategic transformation of the company brand, investment content and education, data & analytics, digital platform, and advertising. In 2016, she was awarded the Jamie E. Depeau Leadership Award for her impact on transforming the financial services industry and in 2013 was awarded the top 20 Rising Stars designation by Gramercy Institute.
Berta is married and has two adult children. She is active in the financial services community and is a frequent panelist and expert on the topics of financial marketing, brand, and leadership. An avid supporter of the non-profit community, she has held executive board positions on the Philadelphia Chapter of Go Red for Women, Camphill Special School, Mutual Fund Education Association, Downingtown Cheer Association and was Co-Chair of the Scholarship Drive at LEADERSHIP Philadelphia.
Education: BA in Business, Finance, Iowa State University, Ames, Iowa. M.B.A., honors in Decision Sciences, Saint Joseph’s University, Philadelphia, Pennsylvania