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1000 Chesterbrook Boulevard , Suite 250, Berwyn, PA 19312 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2023-04-11 |
| IL | RA | APPROVED | 2018-10-09 |
Branch Locations
One North Wacker Drive, Suite 1925, Chicago, IL 60606 • United States
Middleton, WI • United States
1000 Chesterbrook Boulevard , Suite 250, Berwyn, PA 19312 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WI | RA | APPROVED | 2023-04-11 |
| IL | RA | APPROVED | 2014-07-08 |
Branch Locations
1000 Chesterbrook Boulevard , Suite 250, Berwyn, PA 19312 • United States
Middleton, WI • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Finra Reg. Element Content Committee Member | Various | IL | 07/2000 | 12/2018 |
| Envestnet Asset Management | Chicago | IL | 01/2014 | Present |
| Portfolio Brokerage Services | Chicago | IL | 01/2014 | 12/2019 |
| Envestnet Portfolio Solutions, Inc. | Chicago | IL | 01/2014 | Present |
| Envestnet Securities, Inc. | Chicago | IL | 04/2023 | Present |
Envestnet, Inc., Envestnet Asset Management, Inc., and related RIA affiliates. Serve as Global Chief Compliance Officer. This activity is investment-related. A majority of my time is devoted to these entitles. Day-to-day involvement with ESI will be roughly 15-25%.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2004-12-21 |
| S63 | Uniform Securities Agent State Law Examination | 1999-08-31 |
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