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333 S. Wabash Avenue 34Th Floor, Chicago, IL 60604 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2026-02-03 |
Branch Locations
50 South Lasalle, Chicago, IL 60603 • 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 |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Chicago | IL | 01/2011 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Chicago | IL | 11/2016 | 04/2017 |
| Hsbc Securities Usa Inc | Chicago | IL | 05/2017 | 03/2020 |
| Ubs Financial Services, Inc. | Barrington | IL | 07/2020 | 07/2023 |
| Hsbc | Chicago | IL | 03/2020 | 07/2020 |
| Jpmorgan Chase Bank, Na | Chicago | IL | 08/2023 | 04/2025 |
| Jpmorgan Securities Llc | Chicago | IL | 08/2023 | 04/2025 |
| Northern Trust | Chicago | IL | 04/2025 | Present |
| Northern Trust Securities, Inc. | Chicago | IL | 04/2025 | Present |
I'm now on the board for Little Heroes League a non profit charitable organization. Business is not investment related. I was appointed to the board as of 1/28/2019, which is a non compensated position. Address is 2032 N. Clifton Ave Chicago, IL 60614. Organization has no involvement with UBS/JPM. I plan to spend 1-2 hours per month, outside of normal business hours. I'm one of 10 board members. Nature of business is to help provide funding for children born with 3 or more major organ defects. The organization is affiliated with Lurie Childrens Hospital, C.S. Mott Childrens and Stead Family Hospital.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-03-12 |
| S63 | Uniform Securities Agent State Law Examination | 2008-03-01 |
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