Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
20202021202220232024202520262 FIRMS2023 - Present (2 years)BM1 FINANCE LLC (CRD# 281242)2020 - 2022 (1 year)IAM1 FINANCE (CRD# 249787)2021 - 2022 (1 year)
Disclosure(s)
View By:
11/2/2023
Financial
Pending
License(s)

State Registrations

IA
Illinois 1/4/2023
B
Illinois 1/12/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
B
LINCOLN INVESTMENT (CRD#:519)
Chicago, IL
Registered with this firm since 1/12/2023
IA
LINCOLN INVESTMENT (CRD#:519)
Chicago, IL
Registered with this firm since 1/4/2023
Previous Registration(s)
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IA
 03/18/2021 - 05/19/2022 M1 FINANCE (CRD#:249787) CHICAGO, IL
B
 07/22/2020 - 05/19/2022 M1 FINANCE LLC (CRD#:281242) CHICAGO, IL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.