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2651 Warrenville Road Suite 200, Downers Grove, IL 60515 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2021-11-09 |
| CA | RA | APPROVED | 2021-11-03 |
Branch Locations
2651 Warrenville Road Suite 200, Downers Grove, IL 60515 • United States
600 W Broadway Suite 700, San Diego, CA 92101 • United States
360 E 1St Street Suite 958, Tustin, CA 92780 • 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 |
|---|---|---|---|---|
| J.P. Morgan Securities Llc | Irvine | CA | 09/2014 | 01/2017 |
| Lpl Financial, Llc | Laguna Niguel | CA | 01/2017 | 10/2020 |
| Lpl Financial Llc | Tustin | CA | 12/2020 | Present |
| Level Four Advisory Services, Llc | Santa Ana | CA | 01/2021 | 03/2021 |
| Highpoint Advisor Group | Tustin | CA | 03/2021 | Present |
1. 3/31/2021 - Chase Enterprises Financial - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - IAR - Started 03/09/2021 - 160 Hours Per Month/8 Hours During Securities Trading. 2. 3/31/2021 - HighPoint Advisor Group, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 03/09/2021 - 160 Hours Per Month/8 Hours During Securities Trading - I provide investment advisory services through HighPoint Advisor Group, LLC, an independent investment advisor firm. I started this business activity in 03/2021. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3. 08/24/2021 - Chase Enterprises Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date: 03/09/2021 - 40 Hours Per Month/40 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2012-01-24 |
| S65 | Uniform Investment Adviser Law Examination | 2001-06-11 |
| S63 | Uniform Securities Agent State Law Examination | 2000-03-10 |
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