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200 W. Madison St. Suite 2500, Chicago, IL 60606 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2018-05-31 |
Branch Locations
55 Lane Road Suite 110, Fairfield, NJ 07004 • United States
200 W. Madison St. Suite 2500, Chicago, IL 60606 • 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 |
|---|---|---|---|---|
| Securities America, Inc. | Fairfield | NJ | 09/2004 | 05/2018 |
| Securities America Advisors Inc. | Fairfield | NJ | 08/2005 | 05/2018 |
| Financial Principles, Llc | Fairfield | NJ | 10/2006 | Present |
| American Financial Resources | Denville | NJ | 10/2004 | Present |
| Hightower Advisors Llc | Fairfield | NJ | 05/2018 | Present |
| Hightower Securities Llc | Fairfield | NJ | 05/2018 | Present |
FINANCIAL PRINCIPLES - INSURANCE SALES - AGENT - INVESTMENT RELATED - START DATE: 04/2003 - LOCATED AT 310 PASSAIC AVENUE, SUITE 203, FAIRFIELD, NJ 07004 - 15% TIME SPENT WEST MILFORD YOUTH SOCCER ORGANIZATION POSITION: President NATURE: West Milford Youth Soccer Organization INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2016 ADDRESS: 1810 Macopin, West Milford NJ 07480 DESCRIPTION: Lead Executive Board in implementing recreational soccer programs in town. Township Parks and Rec department collects fees and disburses funds for equipment and referees. WMYSO is never in contact with the money.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2005-07-18 |
| S63 | Uniform Securities Agent State Law Examination | 2003-04-28 |
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