DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

ROY MICHAEL BLUMBERG

Advisor at PRIVATE ADVISOR GROUP, LLC

MORRISTOWN, NJ | MALVERN, PA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:e14b697e-24d7-1812-9b25-802d7010690b

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:29 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Mar 16, 2005 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: PRIVATE ADVISOR GROUP, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Sep 24, 1996earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 14derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Sep 24, 1996
First registration: Mar 16, 2005
Dual registered: yes, broker-dealer
Other names: ROY M BLUMBERG
IAPD individual key: 1353524

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
PRIVATE ADVISOR GROUP, LLC	Bd affiliated wealth	Jun 1, 2012	n/a	yes	MALVERN, PA\|MORRISTOWN, NJ	Current employment
STERNE AGEE ASSET MANAGEMENT, INC.	Former SEC adviser	Mar 16, 2009	Aug 3, 2009	no	BIRMINGHAM, AL	Previous registration
JANNEY MONTGOMERY SCOTT LLC	Bd affiliated wealth	Jul 17, 2006	Jun 23, 2008	no	PHILADELPHIA, PA	Previous registration
STERNE AGEE ASSET MANAGEMENT, INC.	Former SEC adviser	Mar 16, 2005	Sep 29, 2006	no	BIRMINGHAM, AL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
STERNE AGEE ASSET MANAGEMENT, INC.	PRIVATE ADVISOR GROUP, LLC	Aug 3, 2009	Jun 1, 2012	1,033	Firm change after gap	Other
JANNEY MONTGOMERY SCOTT LLC	STERNE AGEE ASSET MANAGEMENT, INC.	Jun 23, 2008	Mar 16, 2009	266	Firm change	Other
STERNE AGEE ASSET MANAGEMENT, INC.	JANNEY MONTGOMERY SCOTT LLC	Sep 29, 2006	Jul 17, 2006	-74	Firm change after gap	Other

Relationships

Registered with (3)

→ PRIVATE ADVISOR GROUP, LLCRegistered adviserregistration: current employment
Jun 1, 2012 to presentfactForm ADV
→ STERNE AGEE ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Mar 16, 2009 to Aug 3, 2009factForm ADV
→ JANNEY MONTGOMERY SCOTT LLCRegistered adviserregistration: previous registration
Jul 17, 2006 to Jun 23, 2008factForm ADV

Dated events

No dated event names this entity yet.