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128 N. May Street Floor 2, Chicago, IL 60607 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| MD | RA | APPROVED | 2026-07-06 |
| IL | RA | APPROVED | 2021-09-01 |
Branch Locations
128 N. May Street Floor 2, Chicago, IL 60607 • 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 | 11/2013 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Chicago | IL | 11/2016 | Present |
ADG III LP; INVESTMENT RELATED; CHICAGO, IL; 52% OWNERSHIP; HOLDING COMPANY; START 8/2013; LESS THAN 1 HR PER MONTH; 0 HRS DURING TRADING. BALA VENTURES LLC, INV RELATED, CHICAGO, IL, 98% OWNERSHIP, START: 1/1/2008, ZERO HOURS PER MONTH, DUTIES: FAMILY ESTATE PLANNING. WINDY CITY CAPITAL PARTNERS FUND I, LLC, INV RELATED, ELGIN, IL, 22.9% OWNER, START: 8/2007, 0 HOURS, NO DUTIES. ADG, LLC; INV RELATED; CHICAGO, IL; OWNER; PERSONAL RESIDENCE & RENTAL PROPERTY; START: 12/2016; .25 HR/MO; 0 DURING TRADING. ADG 225 LLC, INV RELATED, CHICAGO, IL, 100% OWNERSHIP, START 3/28/2017, ZERO HOURS PER MONTH, REAL ESTATE HOLDINGS. ADG 1414 LLC, INV RELATED, CHICAGO, IL, 100% OWNERSHIP, START 3/28/2017, ZERO HOURS PER MONTH, REAL ESTATE HOLDINGS. CO-TRUSTEE FOR FATHER; INV RELATED; CHICAGO, IL; START: 4/14/14; .25 HR/MO; .25 DURING TRADING. POWER OF ATTORNEY FOR FATHER; INV RELATED; CHICAGO, IL; START: 8/1/17; .25 HR/MO; 0 DURING TRADING.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2013-12-05 |
| S63 | Uniform Securities Agent State Law Examination | 2001-02-24 |
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