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200 W. Madison St. Suite 2500, Chicago, IL 60606 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2018-06-01 |
| NJ | RA | APPROVED | 2018-05-31 |
Branch Locations
55 Lane Road Suite 110, Fairfield, NJ 07004 • United States
200 W. Madison St. Suite 2500, Chicago, IL 60606 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Securities America, Inc. | Fairfield | NJ | 09/2004 | 05/2018 |
| Financial Principles, Llc | Fairfield | NJ | 11/1998 | Present |
| Securities America Advisors, Inc. | Fairfield | NJ | 10/2004 | 05/2018 |
| American Financial Resources, Llc | Denville | NJ | 10/2004 | Present |
| Packanack Community Church | Wayne | NJ | 01/2007 | Present |
| Hightower Securities Llc | Fairfield | NJ | 05/2018 | Present |
| Hightower Advisors Llc | Fairfield | NJ | 05/2018 | Present |
FINANCIAL PRINCIPLES, LLC;-LIFE INSURANCE/DISABILITY INSURANCE AGENT- INSURANCE SALES- INVESTMENT RELATED- START DATE: 11/1998 LOCATED AT: 310 PASSAIC AVE STE 203 FAIRFIELD, NJ 07004-2523 TRUSTEE AT CHURCH, TRUSTEE- 5% TIME SPENT ECONOMIC DEVELOPMENT COMMISSION OF WAYNE TOWNSHIP, PROMOTE BUSINESSES TO MOVE INTO OR STAY IN WAYNE, MEMBER OF THE COMMISSION, TIME SPENT 1%
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2004-01-29 |
| S63 | Uniform Securities Agent State Law Examination | 1996-02-13 |
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