CF
Firm Information
Compensation
Fixed/Hourly
Number of Advisors
8 advisors
Number of Clients
70 clients
Average Client Portfolio
Not specified
Fee Structure
This document does not contain any fee information. It is a brochure supplement providing information about the individuals covered.
Loading...
Advisor Information
Office location
333 S. Wabash Avenue, 34th Floor, Chicago, IL, 60604
Get directionsRegulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Roth Capital Partners, LLC
September 2025 - Present · 4 mos
Roth Capital Partners, LLC Broker
September 2025 - Present · 4 mos
Previous Registrations
Northern Trust Securities, INC
April 2017 - September 2025 · 8 yrs 5 mos
Northern Trust Securities, INC. Broker
April 2017 - September 2025 · 8 yrs 5 mos
Ameriprise Financial Services, INC. Broker
March 2016 - April 2017 · 1 yr 1 mo
State Registrations3 states
CACTIL
AdvisorBrokerBoth
Exams
No exam information available for this advisor.