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Current Employers
M1 Advisory

200 North Lasalle Street Suite 810, Chicago, IL 60601 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2026-03-18
  • IL RA
    APPROVED
    Since 2026-03-18

Branch Locations

Aurora, CO • United States

200 North Lasalle Street Suite 810, Chicago, IL 60601 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Tiaa Denver CO 03/2006 11/2020
Tiaa-Cref Individual & Institutional Services, Llc Denver CO 03/2006 11/2020
Robinhood Financial, Llc Denver CO 06/2021 11/2024
Unemployed Aurora CO 11/2020 06/2021
Robinhood Markets, Inc Denver CO 06/2022 11/2024
M1 Finance Chicago IL 03/2026 Present
Unemployed Aurora CO 11/2024 03/2026
  • 03/2006 → 11/2020
    Tiaa
    Denver, CO
  • 03/2006 → 11/2020
    Denver, CO
  • 06/2021 → 11/2024
    Robinhood Financial, Llc
    Denver, CO
  • 11/2020 → 06/2021
    Unemployed
    Aurora, CO
  • 06/2022 → 11/2024
    Robinhood Markets, Inc
    Denver, CO
  • 03/2026 → Present
    M1 Finance
    Chicago, IL
  • 11/2024 → 03/2026
    Unemployed
    Aurora, CO
Previous Registrations
Other Businesses

(1) 4025 RUSKIN WAY LLC POSITION: Owner NATURE: Investor INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2017 ADDRESS: Home Address, Aurora CO 80017, United States DESCRIPTION: Real estate investments. | (2) 4 Layer Publishing Position: Publishing, Investment Related: No, Number of Hours: 0 Description: Publishing books on amazon, ranging from education, cross words, coloring books, etc..

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-11-13
S63 Uniform Securities Agent State Law Examination 2005-12-28
  • S65 Uniform Investment Adviser Law Examination
    2025-11-13
  • S63 Uniform Securities Agent State Law Examination
    2005-12-28
Other Names
  • Kwami Sarome Austin

View on SEC IAPD

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