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Current Employers
Highpoint Planning Partners

2651 Warrenville Road Suite 200, Downers Grove, IL 60515 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-02-08
IL RA APPROVED 2021-12-09
  • TX RA
    APPROVED_RES
    Since 2022-02-08
  • IL RA
    APPROVED
    Since 2021-12-09

Branch Locations

2651 Warrenville Road Suite 200, Downers Grove, IL 60515 • United States

365 Surryse Road, Suite 150, Lake Zurich, IL 60047 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial, Llc Lake Zurich IL 05/2012 Present
Mike Lynch, Inc. Lake Zurich IL 01/2009 Present
Highpoint Advisor Group, Llc Lake Zurich IL 12/2016 Present
  • 05/2012 → Present
    Lpl Financial, Llc
    Lake Zurich, IL
  • 01/2009 → Present
    Mike Lynch, Inc.
    Lake Zurich, IL
  • 12/2016 → Present
    Highpoint Advisor Group, Llc
    Lake Zurich, IL
Previous Registrations
  • 2018-06-26 → 2021-12-31
    Highpoint Planning Partners
    Barrington, IL
    Downers Grove, IL
  • 2009-09-16 → 2012-05-18
    Fsc Securities Corporation
    Barrington, IL
    Oak Brook, IL
  • 2003-11-18 → 2009-09-02
    Waterstone Financial Group, Inc.
    Villa Park, IL
    Itasca, IL
  • 2000-10-26 → 2003-12-05
    Macbeth & Associates, Inc.
    Villa Park, IL
Other Businesses

1. 08/26/2016 - No business name / Trails/ Inv Rel / 365 Surryse Rd Ste 150 Lake Zurich IL 60047 / Start 09/01/1990 / non-variable insurance - trails only / 1 hrs/mo; 1 hrs during securities trading hrs. 2. 09/02/2016 - Mike Lynch, Inc - Business Entity For Tax/Investment Purposes Only - Mike Lynch, Inc- Inv Rel - 365 Surryse Road, Suite 150, Lake Zurich IL 60047 - Start 01/01/2009 - Internal DBA is used for LPL business income for tax reasons - 20 hrs/mo; during securities trading hrs. 3. 11/03/2016 - Mike Lynch, Inc - DBA for LPL Business (entity for LPL business) - Investment Related - At Reported Business Location(s) - Start 01/01/2009 - 20 Hr/Mo; 20 Hour(s) During Securities Trading. 4. 12/21/2016 - HighPoint Planning Partners - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start 12/01/2016 - 80 Hours Per Month/40 Hours During Securities Trading. 5. 12/28/2016 - HighPoint Advisor Group - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Started 12/01/2016 - 80 Hours Per Month/40 Hours During Securities Trading - I provide investment advisory services through HighPoint Advisor Group an independent investment advisor firm. I started this business activity in December 2016. I expect to spend approximately 80 hours per monthon this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 6. 7/10/2018 - No Business Name - Investment Related - At Reported Business Location(s) - Non-Variable Insurance - Start Date:09/01/1990 - 3 Hours Per Month/3 Hours During Trading. 7. 10/17/2022 - No Business Name - Investment Related - At Reported Business Location(s) - Other - Notary Public - Notary Public - Start Date - 09/26/2022 - 1 Hours Per Month/1 Hours During Securities Trading

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-11-25
S63 Uniform Securities Agent State Law Examination 1991-08-21
  • S65 Uniform Investment Adviser Law Examination
    1997-11-25
  • S63 Uniform Securities Agent State Law Examination
    1991-08-21
Designations

View on SEC IAPD

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