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22 West Washington Street, Chicago, IL 60602 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2025-05-29 |
Branch Locations
22 West Washington Street, Chicago, IL 60602 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Guggenheim Funds Distributors, Llc | Lisle | IL | 03/2014 | 04/2018 |
| Invesco | Downers Grove | IL | 04/2018 | 06/2019 |
| First Trust Portfolios L.P. | Wheaton | IL | 09/2019 | 09/2022 |
| First Trust Advisors L.P. | Wheaton | IL | 09/2019 | 09/2022 |
| Morningstar | Chicago | IL | 10/2022 | Present |
| Unemployed | Chicago | IL | 06/2019 | 08/2019 |
OTHER BUSINESS NAME: CANINE THERAPY CORPS. LOCATION: 3918 W. FULLERTON CHICAGO, IL 60647 NATURE OF BUSINESS: INTERACTIVE ANIMAL-ASSISTED THERAPY SERVICES. POSITION OR TITLE: BOARD CHAIR. RESPONSIBILITIES: PRESIDE AT MEETINGS AND CHAIRS THE EXECUTIVE COMMITTEE. INVESTMENT-RELATED: NO. HOURS PER MONTH (TOTAL/DURING MARKET HOURS): 3 TOTAL/NONE DURING MARKET HOURS.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-07-20 |
| S63 | Uniform Securities Agent State Law Examination | 2005-04-07 |
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