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4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2025-09-19 |
| FL | RA | APPROVED | 2025-09-02 |
| IL | RA | APPROVED | 2025-08-14 |
| NY | RA | APPROVED | 2025-08-14 |
| TX | RA | APPROVED_RES | 2025-08-14 |
Branch Locations
4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660 • United States
Naperville, IL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Guggenheim Investments | Chicago | IL | 10/2009 | 06/2017 |
| Homemaker | Naperville | IL | 06/2017 | 01/2019 |
| Capital Strategies Investment Group Llc | Oakbrook Terrace | IL | 01/2019 | 08/2025 |
| Capital Strategies Investment Group Llc | Oakbrook Terrrace | IL | 05/2019 | 08/2025 |
| Creative Planning Institutional Advisors, Llc | Newport Beach | CA | 08/2025 | Present |
Dockweiler Consulting Associates, Ltd.; Non-Investment Related; 17929 Beth Court, Homewood, IL 60430; Nature of the business: Estate Executor consulting; Position: Principal; Start Date: 1/1/2021 to Present; Approximately 4 hours per month devoted to the business and 0 hours during securities trading hours per month devoted to the business. Duties include: Providing administrative support to executor/trustee & attending client meetings. Potentially assuming executor responsibilities.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2001-05-15 |
| S63 | Uniform Securities Agent State Law Examination | 1997-06-03 |
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