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Current Employers
Hightower Advisors, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2025-01-29
SC RA APPROVED 2025-01-29
NY RA APPROVED 2021-03-18
NC RA APPROVED 2019-05-29
  • NJ RA
    APPROVED
    Since 2025-01-29
  • SC RA
    APPROVED
    Since 2025-01-29
  • NY RA
    APPROVED
    Since 2021-03-18
  • NC RA
    APPROVED
    Since 2019-05-29

Branch Locations

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

747 Hopkins Road, Williamsville, NY 14221 • 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
Wells Fargo Advisors Financial Network Llc Williamsville NY 05/2009 04/2017
Hightower Securities, Llc Williamsville NY 04/2017 Present
Hightower Advisors, Llc Williamsville NY 04/2017 Present
Previous Registrations
Other Businesses

TD HOLDINGS LLC, NOT INVESTMENT RELATED, 747 HOPKINS RD WILLIAMSVILLE, NY 14221, REALESTATE, OWNER, START DATE 11/1/2008. ERIE COUNTY SHERIFF RESERVE, NON INV-RELATED, ERIE COUNTY, NY, COMMUNITY SERVICE, RESERVE, START: 3/1/14, 2 HRS/MO, 0 DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-07-10
S63 Uniform Securities Agent State Law Examination 1986-03-06
  • S65 Uniform Investment Adviser Law Examination
    1998-07-10
  • S63 Uniform Securities Agent State Law Examination
    1986-03-06
Designations

View on SEC IAPD

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