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333 West Wacker Drive, Chicago, IL 60606 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2024-10-31 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Oppenheimerfunds Distributor, Inc. | New York | NY | 02/2002 | 05/2019 |
| Invesco Distributors, Inc. | Houston | TX | 05/2019 | 05/2021 |
| Quasar Distributors, Llc | Pittsford | NY | 12/2021 | 05/2023 |
| Principal Street Partners, Llc | Pittsford | NY | 07/2021 | 02/2023 |
| Advisors Asset Management, Inc | Monument | CO | 04/2024 | 04/2024 |
| Unemployed | Pittsford | NY | 06/2023 | 04/2024 |
| Nuveen Securities, Llc | Pittsford | NY | 05/2024 | Present |
| Nuveen Asset Management Llc | Chicago | IL | 05/2024 | Present |
| Principal Street Partners | Pittsford | NY | 08/2021 | 05/2023 |
| Oppenheimerfunds, Invesco | Houston | TX | 02/2002 | 05/2021 |
Name: USA Hockey Position: Ice Hockey Referee Nature: Hockey Referee Investment Related: No Hours: 4 Securities Trading Hours: 0 Start Date: 9/1/2022 Address: 1775 Bob Johnson Dr., Colorado Springs, CO 80906 Description: Ice Hockey Referee
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2024-10-31 |
| S63 | Uniform Securities Agent State Law Examination | 2000-08-14 |
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