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200 W. Madison St. Suite 2500, Chicago, IL 60606 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CO | RA | APPROVED | 2021-09-30 |
Branch Locations
200 W. Madison St. Suite 2500, Chicago, IL 60606 • United States
4601 Dtc Boulevard, Suite 600, Denver, CO 80237 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mount Yale Investment Advisors, Llc | Denver | CO | 06/2006 | 08/2018 |
| Princeton Fund Advisors, Llc | Denver | CO | 06/2006 | 08/2018 |
| Northern Lights Distributors, Llc | Omaha | NE | 01/2018 | 08/2018 |
| Investment Security Group, Inc. | Denver | CO | 10/2018 | 09/2021 |
| Hightower Advisors | Chicago | IL | 09/2021 | Present |
Puksta Foundation 2221 W. 30th Ave Denver, CO 8021. Investment related. I serve on the Investment Committee that advises the board on asset allocation decisions. Puksta is a non-profit foundation providing scholarships to Colorado students going to college to certain Colorado-based colleges. Start date 10/01/2021. Three hours per month none during securities trading hours. Receive no compensation.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2019-01-11 |
| S63 | Uniform Securities Agent State Law Examination | 1997-02-18 |
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