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200 W. Madison St. Suite 2500, Chicago, IL 60606 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2023-04-21 |
Branch Locations
200 W. Madison St. Suite 2500, Chicago, IL 60606 • United States
2500 Westchester Avenue Suite 210, Purchase, NY 10577 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Guardian Life Insurance Co Of America | Rye Brook | NY | 11/2004 | 01/2017 |
| Park Avenue Securities Llc | Rye Brook | NY | 12/2004 | 01/2017 |
| Altium Wealth Management, Llc | Purchase | NY | 01/2017 | 04/2022 |
| Mass Mutual Insurance Co. | Purchase | NY | 01/2017 | Present |
| Hightower Altium Holding, Llc | Purchase | NY | 04/2022 | 04/2023 |
| Hightower Advisors | Chicago | IL | 04/2023 | Present |
(1) HOCKEY IN HARLEM - NON-INVESTMENT RELATED - NEW YORK, NY - NON-PROFIT - CHAIRMAN OF THE BOARD - 10/1987 - APPROX 2 HRS/MONTH (APPROX 0 HRS/MONTH DURING TRADING HRS) - PARTICIPATE IN MANAGEMENT OF NON-PROFIT SERVING UNDESERVED CHILDREN IN HARLEM. (2) SOLE PROPRIETOR - NON-INVESTMENT RELATE - RYEBROOK NY - ORGANIC FARMER - 10/2016 - APPROX 2 HRS/MONTH DURING TRADING HRS) - PRODUCE ORGANIC FOOD PRODUCTS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2006-01-25 |
| S63 | Uniform Securities Agent State Law Examination | 2005-01-24 |
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