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150 N. Riverside Plaza Suite 1850, Chicago, IL 60606 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-05-01 |
| IL | RA | APPROVED | 2018-11-05 |
Branch Locations
150 N. Riverside Plaza Suite 1850, Chicago, IL 60606 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Doug Roselieb/ Roselieb, Wells, Raia | Oak Brook | IL | 09/2016 | Present |
| Axa Advisors, Llc | New York | NY | 11/2016 | 08/2018 |
| Keebeck Wealth Management Llc | Chicago | IL | 09/2018 | Present |
DBA WELLS, ROSELIEB AND RAIA WEALTH MANAGEMENT. REGISTERED SALES ASSISTANT, WELLS, ROSELIEB AND RAIA WEALTH MANAGEMENT, conducts the following tasks: trade discretionary advisory SAM accounts (producer group provides trading instructions), participate in monthly Investment Committee Meeting, run Portfolio Review Tool (PRT) analysis for discretionary SAM accounts, design SAM Models for LPL's Rebalancer Tool within Enhanced Trading in order to rebalance discretionary SAM accounts, maintains performance records on SAM Models, disseminate economic and market news to group, manage OneDrive and Hearsay, prepare client review documentation on a quarterly basis. 160 hours per mo. 50,000 per yr, start 11.2016.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-07-18 |
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