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200 W. Madison St. Suite 2500, Chicago, IL 60606 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2018-05-31 |
Branch Locations
200 W. Madison St. Suite 2500, Chicago, IL 60606 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Securities America, Inc. | Fairfield | NJ | 09/2004 | 05/2018 |
| Financial Principles, Llc | Fairfield | NJ | 09/1998 | Present |
| Securities America Advisors, Inc. | Fairfield | NJ | 10/2004 | 05/2018 |
| Hightower Securities Llc | Fairfield | NJ | 05/2018 | Present |
| Hightower Advisors Llc | Fairfield | NJ | 05/2018 | Present |
FINANCIAL PRINCIPLES,LLC; MANAGING PARTNER, ADVISOR, PRESIDENT; FINANCIAL SERVICES. INSURANCE SALES - AGENT - INVESTMENT RELATED - START DATE: 06/1993 - LOCATED AT 310 PASSAIC AVENUE, SUITE 203, FAIRFIELD, NJ 07004 FAIRLEIGH DICKINSON UNIVERSITY, ADJUNCT PROFESSOR FOR THE CFP PROGRAM, ADJUNCT PROFESSOR, TIME SPENT 5%
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2000-11-15 |
| S63 | Uniform Securities Agent State Law Examination | 1993-10-22 |
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