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85 Broad Street 22Nd Floor, New York, NY 10004 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2020-12-03 |
Branch Locations
500 West Madison Suite 3800, Chicago, IL 60661 • United States
2 disclosure categories 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 |
|---|---|---|---|---|
| Citigroup Global Markets Inc. | Skokie | IL | 05/2007 | 04/2017 |
| David A. Noyes & Co. / Sanctuary Securities, Inc. | Chicago | IL | 05/2017 | 09/2020 |
| Oppenheimer & Co. Inc. | Chicago | IL | 09/2020 | Present |
1. INVESTMENT BANKING REFERRAL 2. I VOLUNTEER AS A CAUCUS MEMBER FOR THE VILLAGE OF GLENCOE, GLENCOE, IL. I PARTICIPATE IN SELECTING LIBRARY AND PARK DISTRICT CANDIDATES. - APPROX. 7 HOURS PER YEAR DURING NON-TRADING HOURS.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-09-05 |
| S63 | Uniform Securities Agent State Law Examination | 1992-11-20 |
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