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200 W. Madison St. Suite 2500, Chicago, IL 60606 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-03-18 |
| NJ | RA | APPROVED | 2017-01-31 |
Branch Locations
200 W. Madison St. Suite 2500, Chicago, IL 60606 • United States
44 South Broadway, 11Th Floor, White Plains, NY 10601 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors Llc | Purchase | NY | 05/2009 | 11/2016 |
| Wells Fargo Clearing Services, Llc | Purchase | NY | 11/2016 | 01/2017 |
| Hightower Securities, Llc | New York | NY | 01/2017 | Present |
| Hightower Advisors, Llc | New York | NY | 01/2017 | Present |
CO-TRUSTEE FOR FAMILY TRUST; INVESTMENT RELATED; PORT WASHINGTON, NY; START DATE 6/2011; 0 HRS PER MONTH; 0 HRS DURING TRADING HOURS. NOTARY PUBLIC, NOT INVESTMENT RELATED, SCARSDALE, NY. START: 11/2011, LESS THAN 1 HOUR/MONTH, 0 DURING TRADING, NOTARIZE DOCUMENTS. SCHOOL IN THE SQUARE; NOT INV. RELATED; NEW YORK, NY; DEVELOPMENT COMMITTEE CHAIR; PUBLIC CHARTER MIDDLE SCHOOL; START DATE 1/6/2016; 10 HRS PER MONTH; 1 HR DURING TRADING; OVERSEE FINANCIAL ACTIVITIES OF THE SCHOOL - NO DAY TO DAY INVOLVEMENT.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2003-01-30 |
| S63 | Uniform Securities Agent State Law Examination | 1998-09-09 |
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