STEPHANIE M. PELLATI
HIGHTOWER SECURITIES | Senior Registered Relationship Manager
Chicago, IL 60606-3414
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CRD#: 2881208
Professional summary
STEPHANIE MARIE PELLATI, who also goes by Stephanie Pellati, Stephanie Marie Young, is a registered financial professional currently at HIGHTOWER SECURITIES, LLC located in Chicago, Illinois.
STEPHANIE is registered as a RR (Registered Representative) and started their career in finance in 1999. STEPHANIE has worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.
Biography
Stephanie Pellati is a Senior Registered Relationship Manager at Hightower Great Lakes. She focuses on providing clients with excellent customer service through the maintenance of account administration, performance reporting, billing, trading and assistance with research.
Prior to joining Hightower, Stephanie performed similar duties at U.S. Fiduciary (USF) for nearly three years. Stephanie also worked on the floor of the Chicago Stock Exchange for five years, first as a Member Floor Broker, and then as a Specialist. In both positions, she provided clients with high levels of execution and service by helping ensure fair market pricing and managing any possible clearing or execution issues.
Stephanie received her Bachelor of the Arts degree in International Relations from Michigan State University’s James Madison College.
She lives in Chicago’s western suburbs with her husband, Jeff, and their son, Gus. In her free time, she enjoys cooking, gardening and spending time with her family.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Stephanie Pellati | Stephanie Marie Young
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view STEPHANIE MARIE PELLATI's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 30, 2010 - Present
HIGHTOWER SECURITIES, LLC
Office #1: 200 West Madison Street Suite 2500, Chicago, IL 60606-3414BD
CRD#: 116681
Chicago, IL
Past
January 4, 2002 - April 4, 2002
AUTOMATED TRADING DESK SPECIALISTS, LLC
BD
CRD#: 114026
CHICAGO, IL
Past
July 9, 1999 - January 21, 2000
COWEN AND COMPANY
BD
CRD#: 7616
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Illinois(9/30/2010)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
HS
HIGHTOWER SECURITIES, LLC
CCM EQUITIES, LLC | UNITED FIDUCIARY SECURITIES, LLC | HIGHTOWER SECURITIES, LLC
CRD#: 116681 / SEC#: , 8-53560
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Mailing Address
200 West Madison Street Suite 2500, Chicago, IL 60606-3414
Phone number
(312) 962-3800
Established
Illinois since 06/28/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGHTOWER HOLDING, LLC | PARENT COMPANY | |
| BESSO, DOUGLAS JOSEPH | CTO | 1530829 |
| COVIELLO, BARRY ANTHONY | EXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION | 1813688 |
| GRAY, KENDRA | CHIEF COMPLIANCE OFFICER | 4388082 |
| GRAY, KENDRA | MUNICIPAL PRINCIPAL | 4388082 |
| KARL, MATTHEW JAMES | PRINCIPAL FINANCIAL OFFICER (PFO) & FINOP | 5361093 |
| SMITH, SCOTT DAVID | CHIEF EXECUTIVE OFFICER | 2523535 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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Company Information
HIGHTOWER SECURITIES, LLC
Senior Registered Relationship ManagerCRD#: 116681Chicago, IL 60606-3414TRUST BUT VERIFY
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