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353 N. Clark St, Chicago, IL 60654 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2021-04-12 |
| AL | RA | APPROVED | 2017-08-11 |
| CA | RA | APPROVED | 2017-08-11 |
| TX | RA | APPROVED | 2017-08-11 |
| IL | RA | APPROVED | 2017-07-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Harris Na | Chicago | IL | 08/2008 | 06/2017 |
| Harris Investor Services, Inc | Chicago | IL | 10/2008 | 06/2017 |
| Mesirow Financial, Inc. | Chicago | IL | 06/2017 | Present |
1.) S.M. Lunceford, Inc. Spouse's Consulting Practice. It engages in seasonal training and development projects. Position: Officer Responsibilities: Limited. Occasional speaking or lecturing. Devote 5 hours per month. 2.) American Heart Association (AHA), Investment Committee Member, The committee plays a governance role over the AHA's investment funds and securities on a national level. The committee also reviews budgets, forecasts and projections. Devote 3-4 hours per month. I will attend committee meeting every quarter. 2.) GML, LLC. Solo LLC used for book sales and presentations. Sole owner. Writing, research, publishing, and presenting. Devote 8 hours per month.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2006-01-11 |
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