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1900 South Highland Avenue Suite 100, Lombard, IL 60148 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2015-08-26 |
| IL | RA | APPROVED | 2013-10-24 |
Branch Locations
333 North Hammes Avenue, Suite 104, Joliet, IL 60435 • United States
1900 South Highland Avenue Suite 100, Lombard, IL 60148 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Senesac & Lennon, Ltd. | Joliet | IL | 06/1994 | Present |
| Forum Financial Management, Lp | Lombard | IL | 10/2013 | Present |
| Purshe Kaplan Sterling Investments, Inc. | Albany | NY | 10/2013 | Present |
1) Purshe Kaplan Sterling Investments, Inc.; Investment-related; 80 State Street, Albany, NY 12207; Broker dealer; Registered Representative; 10/2013; 20 hours/month devoted; 15 hours during securities trading hours; sell mutual fund and variable annuities. 2) Senesac & Lennon, Ltd.; Not investment-related; 333 North Hammes Avenue, Suite 104, Joliet, IL 60435; Accounting and tax services; Owner; 6/1994; 150 hours/month devoted; 75 hours during securities trading hours; Accounting and tax services. 3) Sole Proprietor; investment-related; 333 North Hammes Avenue, Joliet, IL 60435; Insurance; Insurance agent; 10/2013; less than 5 hours/month devoted; less than 5 hours during securities trading hours; sell fixed annuities.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-11-26 |
| S63 | Uniform Securities Agent State Law Examination | 1994-07-27 |
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