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Advisor at HIGHTOWER ADVISORS, LLC
Santa Fe, NM | CHICAGO, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| HIGHTOWER ADVISORS, LLC | Bd affiliated wealth | Apr 21, 2021 | n/a | yes | Santa Fe, NM|CHICAGO, IL | Current employment |
| THE RIKOON GROUP, LLC | Former SEC adviser | Jan 9, 2019 | Jun 7, 2021 | no | SANTA FE, NM | Previous registration |
| THE RIKOON GROUP, LLC | Former SEC adviser | Mar 9, 2005 | Dec 31, 2018 | no | SANTA FE, NM | Previous registration |
| CARRET AND COMPANY, LLC. | n/a | Sep 27, 2002 | Jun 3, 2004 | no | SANTA FE, NM | Previous registration |
| CHARLES SCHWAB & CO., INC. | National bd RIA | Jan 25, 2001 | Sep 4, 2002 | no | SANTA FE, NM | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| THE RIKOON GROUP, LLC | HIGHTOWER ADVISORS, LLC | Jun 7, 2021 | Apr 21, 2021 | -47 | Firm change after gap | RIA to ibd |
| CARRET AND COMPANY, LLC. | THE RIKOON GROUP, LLC | Jun 3, 2004 | Mar 9, 2005 | 279 | Firm change | Other |
| CHARLES SCHWAB & CO., INC. | CARRET AND COMPANY, LLC. | Sep 4, 2002 | Sep 27, 2002 | 23 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 131435:145323:NM:2021-06-07 | Jun 7, 2021 | Apr 21, 2021 | SANTA FE, NM | Firm change after gap |