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Current Employers
Highpoint Planning Partners

2651 Warrenville Road Suite 200, Downers Grove, IL 60515 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2022-01-05
  • FL RA
    APPROVED
    Since 2022-01-05

Branch Locations

2651 Warrenville Road Suite 200, Downers Grove, IL 60515 • United States

Sarasota, FL • United States

Disclosures

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.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc Sarasota FL 09/2013 Present
Level Four Advisory Services Sarasota FL 09/2013 08/2021
Highpoint Advisor Group, Llc Sarasota FL 08/2021 Present
  • 09/2013 → Present
    Lpl Financial, Llc
    Sarasota, FL
  • 09/2013 → 08/2021
    Sarasota, FL
  • 08/2021 → Present
    Highpoint Advisor Group, Llc
    Sarasota, FL
Previous Registrations
  • 2021-08-25 → 2021-12-31
    Highpoint Planning Partners
    Downers Grove, IL
    Sarasota, FL
  • 2013-09-12 → 2021-08-25
    Chicago, IL
    Dallas, TX
    Evanston, IL
    Evanston, IL
    Sarasota, FL
    Sarasota, FL
  • 2009-07-16 → 2013-09-12
    New England Securities
    Chicago, IL
Other Businesses

1. 11/6/2013: CORE WEALTH PLANNING - INVESTMENT RELATED - AT REPORTED BUSINESS LOCATION(S) - DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS). 2. 11/27/2018 - Crypto Tax Man - Not Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Crypto Tax Reconciliation Specialist - Started 11/05/2018 - 40 Hours Per Month/2 Hours During Securities Trading - Assist individuals by determining what their capital gain is for tax filing purposes. 3. 8/31/2021 - HighPoint Advisor Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Started 08/23/2021 - 40 Hours Per Month/2 Hours During Securities Trading - I provide investment advisory services through HighPoint Advisor Group, an independent investment advisor firm. I started this business activity in 08/2021. I expect to spend approximately 40 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. 4. 12/06/2023 - Financial Brokerage Inc - Non-Variable Insurance - Agent - Investment Related - At Reported Business Location(s) - Start Date 08/25/2023 - 2 Hours Per Month/ 1 Hour During Trading

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-01-12
  • S66 Uniform Combined State Law Examination
    2009-01-12
Designations

View on SEC IAPD

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