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111 S. Wacker Drive Suite 4600, Chicago, IL 60606 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2025-10-14 |
Branch Locations
111 S. Wacker Drive Suite 4600, Chicago, IL 60606 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nuveen Investments, Inc. | Chicago | IL | 10/2011 | 02/2018 |
| Self-Employed | Wheaton | IL | 02/2018 | 04/2018 |
| First Trust Portfolios L.P. | Wheaton | IL | 04/2018 | 01/2019 |
| First Trust Advisors L.P. | Wheaton | IL | 04/2018 | 01/2019 |
| Aviva Investors Americas, Llc | Chicago | IL | 02/2019 | 07/2022 |
| Foreside Fund Services, Llc | Chicago | IL | 03/2019 | 07/2022 |
| Astor Investment Management, Llc | Chicago | IL | 07/2022 | 05/2024 |
| Northern Lights Distributors, Llc | Elkhorn | NE | 08/2022 | 05/2024 |
| Harris Associates L.P. | Chicago | IL | 01/2025 | Present |
| Harris Associates Securities L.P. | Chicago | IL | 01/2025 | Present |
| Self-Employed | Wheaton | IL | 05/2024 | 12/2024 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-28 |
| S63 | Uniform Securities Agent State Law Examination | 1998-08-19 |
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