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200 W. Madison St. Suite 2500, Chicago, IL 60606 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NM | RA | APPROVED | 2021-04-21 |
Branch Locations
400 Kiva Ct., Santa Fe, NM 87505 • United States
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 |
|---|---|---|---|---|
| The Rikoon Group | Santa Fe | NM | 05/2007 | 04/2021 |
| Hightower Advisors, Llc | Santa Fe | NM | 04/2021 | Present |
A. JEFFREY SAND; ALL NON REGISTERED INVESTMENT ADVISOR RELATED ACTIVITIES; 1405 VEGAS VERDES DR UNIT 118, SANTA FE NM 87507; DOING BUSINESS IN THE TRUST AND ESTATE ADMINISTRATION SERVICES,TITLE:AGENT OR NOMINEE,ONGOING, 10 HOURS PER MONTH, NO HOURS SPENT DURING TRADING HOURS, ASSIST AND DIRECT TRUSTEE AND EXECUTOR ACTIVITY. B. JEFFREY SAND; ALL NON REGISTERED INVESTMENT ADVISOR RELATED ACTIVITIES; 1405 VEGAS VERDES DR UNIT 118, SANTA FE NM 87507; INVESTMENT ADVISOR REPRESENTATIVE MAY OCCASIONALLY INTRODUCE POTENTIAL REAL ESTATE BORROWERS WHO ARE NOT RIKOON GROUP CLIENTS TO POTENTIAL SOURCES OF FINANCING AND MAY BE COMPENSATED BY THE BORROWER FOR THIS ACTIVITY AS AN INDEPENDENT AGENT.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2000-12-21 |
| S63 | Uniform Securities Agent State Law Examination | 1994-08-02 |
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