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200 E Randolph St Ste 5100, Chicago, IL 60601 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2026-07-15 |
Branch Locations
200 E Randolph St Ste 5100, Chicago, IL 60601 • United States
1000 Bridgeport Avenue Suite 308, Shelton, CT 06484 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2026-02-24 |
Branch Locations
1000 Bridgeport Avenue Suite 308, Shelton, CT 06484 • United States
Chicago, IL • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Hanover Securities | Chicago | IL | 01/2014 | 01/2018 |
| Vestor Capital Securities, Llc | Chicago | IL | 01/2015 | 12/2017 |
| Cfs Securities, Inc. | Chicago | IL | 01/2017 | Present |
| International Assets Advisory, Llc | Orlando | FL | 01/2018 | 05/2018 |
| Xy Investment Solutions, Llc | Bozeman | MT | 02/2021 | 01/2022 |
| Early Capital, Llc | Chicago | IL | 07/2018 | 02/2021 |
| Key Bridge Compliance, Llc | Covington | KY | 01/2022 | Present |
1) KEY BRIDGE COMPLIANCE, LLC, INVESTMENT-RELATED, COVINGTON, KY - DIRECTOR, COMPLIANCE SERVICES SINCE 1/2022 - APPROX. 160 HOURS/MONTH, APPROX. 143 HOURS/MONTH DURING TRADING, CONSULTING. 2) MAROON CAPITAL PARTNERS, LLC, INVESTMENT-RELATED, CHICAGO, IL - MANAGING MEMBER SINCE 01/2023 - APPROX. 1 HOUR/MONTH, APPROX. 0 HOURS DURING TRADING, HOLDING COMPANY. 3) INDEPENDENT CAPITAL, LLC, INVESTMENT-RELATED, CHICAGO, IL - MANAGER SINCE 01/2026 - APPROX. 1 HOUR/MONTH, APPROX. 0 HOURS DURING TRADING, FINANCIAL SERVICES. 4) INDEPENDENT CAPITAL MANAGEMENT, INC., INVESTMENT-RELATED, SAN CLEMENTE, CA - BOARD DIRECTOR SINCE 06/2026 - APPROX. 1 HOUR/MONTH, APPROX. 0 HOURS DURING TRADING, FINANCIAL SERVICES.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-03-24 |
| S66 | Uniform Combined State Law Examination | 2009-04-09 |
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