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200 W. Madison St. Suite 2500, Chicago, IL 60606 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2018-11-14 |
Branch Locations
200 W. Madison St. Suite 2500, Chicago, IL 60606 • United States
8434 East Shea Boulevard, Scottsdale, AZ 85260 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wealthtrust - Arizona Llc | Scottsdale | AZ | 11/2006 | 10/2018 |
| Purshe Kaplan Sterling Investments | Albany | NY | 03/2008 | 10/2018 |
| Hightower Securities Llc | Scottsdale | AZ | 10/2018 | Present |
| Hightower Advisors Llc | Scottsdale | AZ | 10/2018 | Present |
I AM AN INVESTMENT ADVISOR FOR WEALTHTRUST - ARIZONA LLC 8434 E SHEA BLVD SCOTTSDALE, AZ 85260 THIS ACTIVITY IS INVESTMENT RELATED. I SELL FINANCIAL PLANS AND SERVICES AND SPEND 40 HRS+ A WEEK ENGAGED IN THIS ACTIVITY AP WITH ANTC 8434 E SHEA BLVD SCOTTSDALE, AZ 85260 THIS ACTIVITY IS INVESTMENT RELATED. I AM INACTIVE AT THIS TIME. NO HOURS PER WEEK ENGAGED IN THIS ACTIVITY. LIFE, HEALTH, DISABILITY LICENSED AIG LIFE INSURANCE 8434 E SHEA BLVD SCOTTSDALE, AZ 85260 INVESTMENT RELATED. SELL VARIABLE ANNUITIES WITHIN THE CONTEXT OF MY INVESTMENT ADVISORY ACTIVITY. I SPEND 40 HR+ PER WEEK ENGAGED IN THIS ACTIVITY.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2002-01-11 |
| S63 | Uniform Securities Agent State Law Examination | 2000-08-16 |
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