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Naples, FL • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2024-01-11 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| M1 Finance Llc | Chicago | IL | 02/2015 | 12/2020 |
| M1 Advisory Services Llc | Chicago | IL | 02/2015 | 12/2020 |
| Sound Capital Distributors Llc | Wheaton | IL | 08/2020 | Present |
| Sound Capital Solutions Llc | Wheaton | IL | 08/2020 | Present |
Consultant and Equity holder of M1 Holdings, Inc, parent of M1 FINANCE LLC, A REGISTERED BROKER/DEALER, AND M1 ADVISORY SERVICES LLC, ITS AFFILIATED INVESTMENT ADVISER. Independent Chair of the DESTRA Family of Funds Board and Independent Chair of the Milliman Variable Investment Trust.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-10-02 |
| S63 | Uniform Securities Agent State Law Examination | 2001-03-22 |
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