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Current Employers
Highpoint Planning Partners

2651 Warrenville Road Suite 200, Downers Grove, IL 60515 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2021-11-01
  • IL RA
    APPROVED
    Since 2021-11-01

Branch Locations

2340 South River Road Suite 108, Des Plaines, IL 60018 • United States

2651 Warrenville Road Suite 200, Downers Grove, IL 60515 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc Des Plaines IL 07/2013 Present
Level Four Advisory Services Llc Chicago IL 07/2013 08/2021
Highpoint Advisor Group, Llc Des Plaines IL 08/2021 Present
  • 07/2013 → Present
    Lpl Financial Llc
    Des Plaines, IL
  • 07/2013 → 08/2021
    Level Four Advisory Services Llc
    Chicago, IL
  • 08/2021 → Present
    Highpoint Advisor Group, Llc
    Des Plaines, IL
Previous Registrations
  • 2021-08-31 → 2021-12-31
    Highpoint Planning Partners
    Downers Grove, IL
    Des Plaines, IL
  • 2013-07-31 → 2021-08-31
    Evanston, IL
    Chicago, IL
    Dallas, TX
    Evanston, IL
  • 2006-05-18 → 2013-07-23
    New England Securities
    Chicago, IL
  • 2002-06-20 → 2006-04-25
    Waddell & Reed
    Oakbrook, IL
    Savage, MN
Other Businesses

1. 7/19/2013: No Business Name - Investment Related - At Reported Business Location(s) - NON-VARIABLE INSURANCE - TIME SPENT 10% - LIFE, DISABILITY, LONG TERM. 2. 10/22/2013: FPX - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3. 9/23/2021 - HighPoint Advisor Group, LLC - DBA: (Hybrid) Highpoint Advisor Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 08/30/2021 - 40 Hours Per Month/30 Hours During Securities Trading - I provide investment advisory services through Highpoint Advisor Group, LLC, an independent investment advisor firm. I started this business activity in 08/2021. I expect to spend approximately 40 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-06-19
  • S66 Uniform Combined State Law Examination
    2002-06-19

View on SEC IAPD

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