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Current Employers
Hightower Advisors, Llc

200 W. Madison St. Suite 2500, Chicago, IL 60606 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-01-01
  • CA RA
    APPROVED
    Since 2025-01-01

Branch Locations

200 W. Madison St. Suite 2500, Chicago, IL 60606 • United States

157 Parkshore Drive, Folsom, CA 95630 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Scottrade, Inc. Roseville CA 07/2013 01/2017
Loring Ward Securities San Jose CA 01/2017 11/2017
Hightower Securities, Llc Chicago IL 11/2017 Present
  • 07/2013 → 01/2017
    Scottrade, Inc.
    Roseville, CA
  • 01/2017 → 11/2017
    Loring Ward Securities
    San Jose, CA
  • 11/2017 → Present
    Hightower Securities, Llc
    Chicago, IL
Previous Registrations
  • 2017-01-13 → 2017-11-06
    Lwi Financial Inc.
    San Jose, CA
  • 2016-06-27 → 2017-01-17
    Scottrade Investment Management
    Saint Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-06-27
S63 Uniform Securities Agent State Law Examination 2013-11-11
  • S66 Uniform Combined State Law Examination
    2016-06-27
  • S63 Uniform Securities Agent State Law Examination
    2013-11-11

View on SEC IAPD

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