Best Investors
Account
Sign in
Best Investors
Account
Sign in
1345 Avenue Of The Americas, New York, NY 10105 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2026-08-20 |
| TX | RA | APPROVED | 2026-08-20 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wayne Hummer Investments L.L.C. | Chicago | IL | 06/2013 | 09/2018 |
| Lpl Financial Llc | Joliet | IL | 09/2018 | 01/2024 |
| Stifel Independent Advisors, Llc | Joliet | IL | 01/2024 | 08/2026 |
| Equitable Advisors, Llc | Joliet | IL | 08/2026 | Present |
1) Carroll J Klotz Tax Preparation; 301 Lake Lawn Ct. Joliet IL 60435; Tax Preparation; Tax Preparer; Tax Preparation; 02/01/1990; 8.00hrs/week; Not during securities trading hours; Not Investment-Related
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-06-28 |
| S63 | Uniform Securities Agent State Law Examination | 1997-11-08 |
Reach out to this advisor