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Employer firm

Hightower Advisors, LLC CRD 145323

$199B regulatory AUM 500 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (pooled vehicles)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Hightower Advisors, Llc

200 W. Madison St. Suite 2500, Chicago, IL 60606 • United States

Current Registrations

AuthorityCategoryStatusDate
KS RA APPROVED 2016-12-02
  • KS RA
    APPROVED
    Since 2016-12-02

Branch Locations

1900 Shawnee Mission Pkwy Suite 210, Mission Woods, KS 66205 • United States

200 W. Madison St. Suite 2500, Chicago, IL 60606 • 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
Ubs Financial Services Inc Leawood KS 07/2013 12/2016
Hightower Securities, Llc Mission Woods KS 12/2016 Present
Hightower Advisors, Llc Mission Woods KS 12/2016 Present
Previous Registrations
Other Businesses

Kansas Golf Foundation Podcast Co-Host; Investment Related - No; Olathe, KS; Podcast; Co-Host; Start Date - 03/2025; Approximately 2 hours per month with all hours during securities trading hours; Co-Host a podcast to promote golf in the state of Kansas and the foundation.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-11-15
S63 Uniform Securities Agent State Law Examination 2006-04-21
  • S66 Uniform Combined State Law Examination
    2006-11-15
  • S63 Uniform Securities Agent State Law Examination
    2006-04-21
Other Names
  • Jake Falcon
  • Jacob Blas Falcon

View on SEC IAPD

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