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Current Employers
Hightower Advisors, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CO RA APPROVED 2017-05-05
  • CO RA
    APPROVED
    Since 2017-05-05

Branch Locations

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

102 S. Tejon Street Suite 500, Colorado Springs, CO 80902 • United States

Disclosures

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.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Ubs Painewebber Inc. Colorado Springs CO 08/2001 05/2017
Hightower Advisors, Llc Colorado Springs CO 05/2017 Present
Hightower Securities, Llc Colorado Springs CO 05/2017 Present
  • 08/2001 → 05/2017
    Ubs Painewebber Inc.
    Colorado Springs, CO
  • 05/2017 → Present
    Colorado Springs, CO
  • 05/2017 → Present
    Hightower Securities, Llc
    Colorado Springs, CO
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-01-28
S63 Uniform Securities Agent State Law Examination 1983-04-29
  • S65 Uniform Investment Adviser Law Examination
    2002-01-28
  • S63 Uniform Securities Agent State Law Examination
    1983-04-29

View on SEC IAPD

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