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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2018-03-02 |
| TX | RA | APPROVED_RES | 2018-03-02 |
Branch Locations
500 West Madison Suite 3800, Chicago, IL 60661 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Chicago | IL | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Chicago | IL | 11/2016 | 03/2018 |
| Oppenheimer & Co. Inc. | Chicago | IL | 03/2018 | Present |
1. 100% OWNERSHIP OF RENTAL PROPERTY, SINCE 1/1/2011. I SPEND APPROXIMATELY ONE HOUR PER MONTH MANAGING THIS RENTAL PROPERTY. 2. TRUSTEE FOR DAUGHTER'S TRUST A/O 4-30-2008 ONE HOUR PER MONTH DURING TRADING HOURS 3. TRUSTEE FOR SON'S TRUST A/O 4/30/2008, ONE HOUR PER MONTH DURING TRADING HOURS
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-06-01 |
| S63 | Uniform Securities Agent State Law Examination | 1989-05-18 |
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