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34 Fountain Square Plaza Md 1090Xb, Cincinnati, OH 45263 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2023-09-21 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| First Trust Portfolios | Wheaton | IL | 01/2012 | 03/2019 |
| Charles Schwab & Co., Inc. | Orland Park | IL | 06/2019 | 09/2023 |
| Charles Schwab Bank Ssb | Orland Park | IL | 06/2019 | 09/2023 |
| Fifth Third Securities | Rosemont | IL | 09/2023 | Present |
| Fifth Third Bank | Rosemont | IL | 09/2023 | Present |
Ebay - online - personal item sales - seller - 5 hrs/mo (0 mkt hrs) - not securities related - will not interfere with duties at firm ------------------------------------------------------------ Facebook Market Place - online - personal item sales - seller - 5 hrs/mo (0 mkt hrs) - not securities related - will not interfere with duties at firm
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2007-10-06 |
| S63 | Uniform Securities Agent State Law Examination | 1999-12-03 |
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