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1900 South Highland Avenue Suite 100, Lombard, IL 60148 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2015-02-13 |
Branch Locations
440 South 3Rd Street, Suite 202, Saint Charles, IL 60174 • United States
1900 South Highland Avenue Suite 100, Lombard, IL 60148 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Forum Financial Management, Lp | Lombard | IL | 02/2015 | Present |
| Purshe Kaplan Sterling Investments | Albany | NY | 02/2015 | Present |
| Element 30 Insurance Solutions Inc. | Saint Charles | IL | 04/2016 | Present |
1) Element 30 Insurance Solutions, Inc.; Investment-related; 440 South 3rd Street, Suite 202, Saint Charles, IL 60174; Insurance; President & Broker; 4/2016; 25 hours/month devoted; 20 hours during securities trading hours; sell insurance products. 2) Purshe Kaplan Sterling Investments, Inc.; Investment-related; 80 State Street, Albany, NY 12207; Broker-Dealer; Registered representative; 2/2015; 70 hours/month devoted; 70 hours during securities trading hours; sell investment products. 3) Sole proprietor; Investment-related; 440 South 3rd Street, Suite 202, Saint Charles, IL 60174; Insurance sales; Insurance agent; 9/2013; 30 hours/month devoted; 20 hours during securities trading hours; Insurance sales.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-08-06 |
| S63 | Uniform Securities Agent State Law Examination | 2012-05-03 |
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