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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2016-04-16 |
| IL | RA | APPROVED | 2007-11-05 |
Branch Locations
500 West Madison Suite 3800, Chicago, IL 60661 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Fahnestock & Co. Inc. | New York | NY | 01/2003 | Present |
| Oppenheimer Asset Management Inc. | New York | NY | 04/2003 | Present |
1.I AM A PARTNER OF THE JJF PROPERTIES, LLC, 9416 CLANCY DR., DES PLAINES, IL 60016. THIS LLC OWNS ONE PIECE OF REAL ESTATE PROPERTY WHICH IS A SINGLE FAMILY HOME. I AM 33 1/3% OWNER OF THIS LLC AND I SPEND LESS THEN ONE HOUR PER MONTH PARTICIPATING IN THE DECISION-MAKING PROCESS. I AM COMPENSATED WITH 33 1/3% OF THE RENTAL INCOME FROM THIS PROPERTY WHICH IS REPORTED ON A K1. 2.JOSEPH A GUTTILLA TRUST DTD 5/1/08 JOSEPH A GUTTILLA TRUSTEE-PERSONAL TRUST FOR ESTATE PLANNING PURPOSES
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2001-03-12 |
| S63 | Uniform Securities Agent State Law Examination | 1997-12-04 |
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