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200 Vesey St., New York, NY 10281 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2022-04-05 |
| IL | RA | APPROVED | 2018-09-17 |
Branch Locations
800 Laurel Oak Drive Suites 500 & 600, Naples, FL 34108 • United States
1819 Main Street Suite 1100, Sarasota, FL 34236-5999 • United States
Naples, FL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Naperville | IL | 05/2014 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Geneva | IL | 11/2016 | 07/2018 |
| Stifel Nicolaus & Co Inc | Geneva | IL | 07/2018 | 09/2018 |
| Rbc Capital Markets, Llc | Buffalo Grove | IL | 09/2018 | Present |
1) Stars and Stripes Farm, LLC; Saint Charles, IL 60175; Owner- Horse breeding and sales; 12/31/2014; 1.00 Hour(s) Per Day - not during securities trading hours; Not Investment-Related 2) NAME OF ENTITY: Porsche Club of America-Chicago Region ADDRESS: N/A INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Driven Women Event Planning Committee CAPACITY: Committee/Council Member (not associated with the Board of Directors)/ Driven Women Event Planning Committee 2024 START DATE: 07/01/2023 DUTIES: Planning of the second annual Driven Women track day event for the Porsche Club of America Chicago Region. As a participant at the first event I will contribute ideas to make the event even more successful next year. I imagine it may include reaching out to sponsors to help with the event. HOURS DEVOTED PER MONTH: 10-20 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0 (3) NAME OF ENTITY: Foxtrot Alpha, LLC ADDRESS: 48W502 Chandelle Drive Hampshire Illionis 60140 INVESTMENT/NOT INVESTMENT RELATED: No BUSINESS DESCRIPTION: Private Company START DATE: Jun 03, 2026 CAPACITY: Other DUTIES: At the advice of my attorney, an LLC was established solely for the purpose of a vehicle purchase. HOURS DEVOTED PER MONTH: 1 HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-06-16 |
| S63 | Uniform Securities Agent State Law Examination | 2003-05-27 |
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