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333 West Wacker Drive, Chicago, IL 60606 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2022-03-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Legg Mason Investor Services Llc | Stamford | CT | 01/2015 | 10/2020 |
| Legg Mason & Co | Stamford | CT | 01/2015 | 10/2020 |
| Edelman/Financial Engines Advisors L.L.C | Santa Clara | CA | 10/2020 | 10/2021 |
| Franklin Distributors, Llc | Stamford | CT | 11/2021 | 02/2022 |
| Nuveen Securities, Llc | New York | NY | 02/2022 | Present |
| Nuveen Asset Management, Llc | Chicago | IL | 02/2022 | Present |
| Legg Mason Investor Services, Llc | Stamford | CT | 10/2021 | 02/2022 |
(1) Name: 21 West 74 Corp Position: Vice President Nature: Rental Property Investment Related: Yes Hours: 0 Securities Trading Hours: 0 Start Date: 12/15/2012 Address: 21 West 74th Street, New York, NY 10023 Description: No duties (2) Name: SA Porco Art Position: Self-Employed Artist and Art Dealer Nature: Artist Investment Related: No Hours: 5 hours per week Securities Trading Hours: 0 Start Date: 06/26/2024 Address: Home Address, Redding, CT Description: Creating artwork and acrylic paintings. Potential sales of art created.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-01-07 |
| S66 | Uniform Combined State Law Examination | 2008-06-09 |
| S63 | Uniform Securities Agent State Law Examination | 2006-12-21 |
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