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2000 Westchester Avenue, Purchase, NY 10577-2530 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-01-10 |
| IL | RA | APPROVED | 2023-12-12 |
Branch Locations
111 South Pfingsten Road Suite 200, Deerfield, IL 60015 • United States
760 West Main Street, Barrington, IL 60010 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Td Ameritrade | Chicago | IL | 12/2020 | 05/2021 |
| Nurses And Caregivers, Inc. | St. Charles | IL | 11/2018 | 12/2020 |
| Northern Illinois University | Dekalb | IL | 06/2018 | 12/2020 |
| N/A | Manila | 06/2003 | 06/2018 | |
| Meijer Stores | St. Charles | IL | 08/2018 | 11/2018 |
| Fidelity Investments | Chicago | IL | 08/2021 | 11/2023 |
| Morgan Stanley | Barrington | IL | 11/2023 | Present |
*661092 - N/A - Rental Property; Investment related: Yes; St Charles, Illinois; Real Estate; Owner - Rental Property (proprietor, partner, officer, director, employee, trustee, agent); 09/2025; During business hours: 0; After business hours: 20; Property Management
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-12-12 |
| S63 | Uniform Securities Agent State Law Examination | 2021-03-01 |
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