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1900 South Highland Avenue Suite 100, Lombard, IL 60148 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IL | RA | APPROVED | 2015-02-13 |
| TX | RA | APPROVED | 2015-02-13 |
Branch Locations
440 South 3Rd Street Suite 202, Saint Charles, IL 60174 • United States
1900 South Highland Avenue Suite 100, Lombard, IL 60148 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Morrison & Associates, Inc. | Batavia | IL | 01/1979 | Present |
| Forum Financial Management, Lp | Lombard | IL | 02/2015 | Present |
| Purshe Kaplan Sterling Investments | Albany | NY | 02/2015 | 10/2019 |
| Apex Cpas & Consultants, Inc. | St, Charles | IL | 12/2017 | 08/2019 |
1) Four Forty Forum LLC; Not investment-related; 440 S. Third Street Suite 202 St. Charles, IL 60174; Real Estate; Owner; 1994; Less than 5 hours per month devoted; Less than 5 hours during securities trading hours; manage rental property. 2) Morrison and Associates, Inc; Not investment-related; 440 S. Third Street Suite 202 St. Charles, IL 60174; Tax firm; Owner and President; 01/1979; 10 hours per month; 10 hours during securities trading hours; Tax preparation services.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1998-12-03 |
| S63 | Uniform Securities Agent State Law Examination | 1991-03-01 |
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