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Current Employers
Hightower Advisors, Llc

200 W. Madison St. Suite 2500, Chicago, IL 60606 • United States

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-03-18
IL RA APPROVED 2019-09-17
  • NY RA
    APPROVED
    Since 2021-03-18
  • IL RA
    APPROVED
    Since 2019-09-17

Branch Locations

200 W. Madison St. Suite 2500, Chicago, IL 60606 • United States

44 S. Broadway 11Th Floor, White Plains, NY 10601 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Sanford C. Bernstein White Plains NY 01/2004 05/2019
Hightower Securities Llc Chicago IL 05/2019 Present
Hightower Advisors Llc Chicago IL 05/2019 Present
  • 01/2004 → 05/2019
    Sanford C. Bernstein
    White Plains, NY
  • 05/2019 → Present
    Hightower Securities Llc
    Chicago, IL
  • 05/2019 → Present
    Chicago, IL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-09-17
S63 Uniform Securities Agent State Law Examination 2002-10-29
  • S65 Uniform Investment Adviser Law Examination
    2019-09-17
  • S63 Uniform Securities Agent State Law Examination
    2002-10-29

View on SEC IAPD

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