Adam B. Faust

DEEP BLUE FINANCIAL LLC

Northbrook, IL 60062

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CRD#: 2972403

Professional summary

Adam B Faust, who also goes by Adam Benjamin Faust, is a registered financial advisor currently at DEEP BLUE FINANCIAL LLC located in Northbrook, Illinois.

Adam is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Adam has worked at 7 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Adam Benjamin Faust

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.

1.) ADAN BENJAMIN, PHOTOGRAHY, OWNER, NOT INVESTMENT RELATED, 5 HOURS PER MONTH, I TAKE PHOTOS. MOSTLY HAVE WORKED WITH A FEW PUBLISHING COMPANIES AND OTHER BUSINESSES TO DO SHOTS FOR AUTHOR PHOTOS AND ALSO WEDDINGS. 2.) METROPOLIS PERFORMING ARTS CENTRE, ARLINGTON HEIGHTS, NON-PROFIT THEATER, BOARD OF DIRECTORS, NOT INVESTMENT RELEATED, 6 HOURS PER MONTH.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam B Faust'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®

None

Experience

Current

February 20, 2014 - Present

DEEP BLUE FINANCIAL LLC

Office #1: 707 Skokie Blvd Suite 600, Northbrook, IL 60062

RIA

CRD#: 170446

Northbrook, IL

Past

January 4, 2010 - February 4, 2014

MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.

RIA

CRD#: 111135

CHICAGO, IL

Past

January 4, 2010 - February 4, 2014

MESIROW FINANCIAL, INC.

CRD#: 2764

HIGHLAND PARK, IL

Past

October 21, 2005 - January 15, 2010

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

NORTHBROOK, IL

Past

October 21, 2005 - January 15, 2010

CHARLES SCHWAB & CO., INC.

CRD#: 5393

NORTHBROOK, IL

Past

December 16, 2002 - September 10, 2004

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

DALLAS, TX

Past

December 16, 2002 - September 10, 2004

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

November 13, 2002 - December 17, 2002

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

ADDISON, TX

Past

September 25, 2002 - December 17, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

December 10, 1997 - September 20, 2002

STRONG INVESTMENTS, INC.

CRD#: 15658

MENOMONEE FALLS, WI

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Illinois
(2/20/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/11/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/23/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 12/22/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/8/1997

Investment Company Products/Variable Contracts Representative Examination

Current Firm

DEEP BLUE FINANCIAL LLC

DEEP BLUE FINANCIAL LLC | FAUST, ADAM BENJAMIN

CRD#: 170446 / SEC#:

Illinois

Registered Investment Advisory firm - (2/20/2014 Approved)

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Contact information

Main Address

707 Skokie Blvd Suite 600, Northbrook, IL 60062

Mailing Address

Phone number

(312) 307-3222

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	89
AUM (Assets Under Management)	$ 43,408,415

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Adam B. Faust

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Adam B Faust's CRS (Customer Relationship Summary).

Certified licenses

Experience

MESIROW FINANCIAL INVESTMENT MANAGEMENT, INC.

MESIROW FINANCIAL, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

STRONG INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/11/2002

Series 63

Date: 12/23/1997

Series 7

Date: 12/22/1999

Series 6

Date: 12/8/1997

Current Firm

DEEP BLUE FINANCIAL LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

DEEP BLUE FINANCIAL LLC

TRUST BUT VERIFY

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