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200 W. Madison St. Suite 2500, Chicago, IL 60606 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2020-09-30 |
Branch Locations
227 N Loop 1604 East Suite 150, San Antonio, TX 78232 • United States
200 W. Madison St. Suite 2500, Chicago, IL 60606 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | San Antonio | TX | 09/2011 | 09/2019 |
| Bank Of America, N.A. | San Antonio | TX | 11/2011 | 09/2019 |
| Frontier Investment Management Co | San Antonio | TX | 10/2019 | 09/2020 |
| Hightower Advisors, Llc | San Antonio | TX | 09/2020 | Present |
I*71770 For profit or not for profit: Non-Profit Organization Name of outside business organization: University of Incarnate Word Investment related: N Address of business: San Antonio, Texas 78209 Nature of business: Charitable Organization, Position, title, association: Part-Time, Start date of relationship: 5/26/2014 Number of hours devoted: 30 hour(s) Monthly Number of hours devoted during trading hours: 0 Duties: Teach various coursework at University of Incarnate Word including management, finance and Certified Financial Planning coursework.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-07-15 |
| S63 | Uniform Securities Agent State Law Examination | 1999-07-02 |
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