on 26 Mar 2022
Last Applicant/ Owned by
10 SOUTH RIVERSIDE PLAZA
CHICAGO
IL
60606
Serial Number
75448231 filed on 11th Mar 1998
Registration Number
2564836 registered on 30th Apr 2002
Correspondent Address
John K. Burke
Filing Basis
No Filing Basis
Disclaimer
NO DATA
PROVIDING INVESTMENT ADVISORY SERVICES AS A REGISTERED INVESTMENT ADVISER UNDER THE INVESTMENT ADVISORS ACT OF 1940, AS AMENDED, AND PROVIDING BROKER/DEALER SERVICES, AS A REGISTERED BROKER/DEALER AND NASD MEMBER FIRM, TO RETAIL AND INSTITUTIONAL CUSTOMERS, AND EXCLUDING ORGANIZING AND OFFERING INTERESTS IN PRIVATE EQUITY FUNDS FOR VERY HIGH NET WORTH INDIVIDUALS AND INSTITUTIONS AND PROVIDING INV Read More
PROVIDING INVESTMENT ADVISORY SERVICES AS A REGISTERED INVESTMENT ADVISER UNDER THE INVESTMENT ADVISORS ACT OF 1940, AS AMENDED, AND PROVIDING BROKER/DEALER SERVICES, AS A REGISTERED BROKER/DEALER AND NASD MEMBER FIRM, TO RETAIL AND INSTITUTIONAL CUSTOMERS, AND EXCLUDING ORGANIZING AND OFFERING INTERESTS IN PRIVATE EQUITY FUNDS FOR VERY HIGH NET WORTH INDIVIDUALS AND INSTITUTIONS AND PROVIDING INVESTMENT BANKING AND MANAGEMENT ADVISORY SERVICES TO SUCH FUNDS AND THE COMPANIES THEY INVEST IN
31st Mar 1985
31st Mar 1985
No 75448231
No Service Mark
No 00468000001
No
No
No
No
No
No
No
No
Status Date | Action Taken |
---|---|
15th Oct 2024 | TEAS CHANGE OF CORRESPONDENCE RECEIVED |
15th Oct 2024 | ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED |
15th Oct 2024 | TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED |
15th Oct 2024 | TEAS WITHDRAWAL OF ATTORNEY RECEIVED-FIRM RETAINS |
02th Oct 2024 | ASSIGNMENT OF OWNERSHIP NOT UPDATED AUTOMATICALLY |
26th Mar 2022 | NOTICE OF ACCEPTANCE OF SEC. 8 & 9 - E-MAILED |
26th Mar 2022 | REGISTERED AND RENEWED (SECOND RENEWAL - 10 YRS) |
26th Mar 2022 | REGISTERED - SEC. 8 (10-YR) ACCEPTED/SEC. 9 GRANTED |
15th Mar 2022 | CASE ASSIGNED TO POST REGISTRATION PARALEGAL |
05th Nov 2021 | TEAS SECTION 8 & 9 RECEIVED |