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2651 Warrenville Road Suite 200, Downers Grove, IL 60515 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-02-08 |
| IL | RA | APPROVED | 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
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| 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 |
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
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1997-11-25 |
| S63 | Uniform Securities Agent State Law Examination | 1991-08-21 |
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