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Current Employers
T2 Asset Management, Llc

1952 Mcdowell Rd Suite 101, Naperville, IL 60563 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2017-01-06
  • IL RA
    APPROVED
    Since 2017-01-06

Branch Locations

1952 Mcdowell Rd Suite 101, Naperville, IL 60563 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wayne Hummer Investments Western Springs IL 09/2005 01/2017
T2 Asset Management, Llc Oakbrook Terrace IL 01/2017 Present
Purshe Kaplan Sterling Investments Albany NY 02/2017 Present
  • 09/2005 → 01/2017
    Wayne Hummer Investments
    Western Springs, IL
  • 01/2017 → Present
    Oakbrook Terrace, IL
  • 02/2017 → Present
    Purshe Kaplan Sterling Investments
    Albany, NY
Previous Registrations
  • 2011-06-24 → 2017-01-19
    Wintrust Investments Llc
    Evergreen Park, IL
    Oak Lawn, IL
    Western Springs, IL
    Frankfort, IL
    Riverside, IL
    Chicago, IL
  • 2005-07-06 → 2005-09-09
    Chase Investment Services Corp.
    Chicago, IL
  • 2002-06-19 → 2005-07-06
    Banc One Securities Corporation
    Hinsdale, IL
Other Businesses

1) PKSF. INVESTMENT RELATED. 80 STATE STREET ALBANY NY 12207. FIXED/TRADITIONAL INSURANCE. AGENT. START 01/2017. 4 HOURS/MONTH, O DURING TRADING. SALE OF FIXED/TRADITIONAL INSURANCE PRODUCTS. 2) T2 ASSET MANAGEMENT LLC. INVESTMENT RELATED. At Registered Branch Office Location and Personal Residence. RIA. SENIOR WEALTH MANAGER. START 1/6/17. 40 HOURS/MONTH, 30 DURING TRADING. MANAGE INVESTMENT ACCOUNTS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-06-23
S63 Uniform Securities Agent State Law Examination 2002-01-18
  • S66 Uniform Combined State Law Examination
    2011-06-23
  • S63 Uniform Securities Agent State Law Examination
    2002-01-18

View on SEC IAPD

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