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181 West Madison Street 36Th Floor, Chicago, IL 60602 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2023-04-03 |
| WI | RA | APPROVED | 2023-02-10 |
| IL | RA | APPROVED | 2017-09-06 |
Branch Locations
181 W. Madison St 35Th Floor, Chicago, IL 60602-4690 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Joseph J. Locke & Company, Ltd. | Forest Park | IL | 05/1999 | Present |
| Geneva Advisors, Llc | Chicago | IL | 07/2016 | 08/2017 |
| At Investment Advisers Inc. | Chicago | IL | 08/2017 | Present |
Successor Trustee of the Mary Alice Dixon Trust dtd November 14, 1996 - Disburse the assets of the Trusts to the beneficiary in accordance with the Trust instructions. Successor Trustee of the Russell A Dixon Trust dtd November 14, 1996 - Disburse the assets of the Trusts to the beneficiary in accordance with the Trust instructions.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-04-25 |
| S63 | Uniform Securities Agent State Law Examination | 1991-11-05 |
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