Jyothi San Juan has been Executive Director, Compliance of Hightower Advisors since December 2025, is a control person of the firm and directly owns under 5% of it.
Hightower Advisors, LLC is a Chicago, IL firm with $199B under management, 64,035 clients and 953 advisers across 133 offices, as of its September 2026 filing.
No adviser firm registrations are on Jyothi San Juan’s record.
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 24 | General Securities Principal Examination | 31 December 2018 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 8 March 2018 |
| Series 7 | General Securities Representative Examination | 26 January 2018 |
- Name
- General Securities Principal Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- CRD
- 6777364
- Firm
- Hightower Advisors · CRD 145323
- Role
- Executive Director, Compliance
- Registration
- Broker registration; no current adviser registration
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Jyothi San Juan work?
Jyothi San Juan has been Executive Director, Compliance of Hightower Advisors, LLC since December 2025, and is a control person of the firm.
Does Jyothi San Juan have a current investment-adviser registration?
Jyothi San Juan has a current broker registration and no current investment-adviser registration.
What exams has Jyothi San Juan passed?
Jyothi San Juan has passed 3 licensing exams: the Series 7, Series 63 and Series 24. The earliest, the Series 7, was passed in January 2018. FINRA credited Jyothi San Juan with the SIE, which began in October 2018.
Is Jyothi San Juan registered with FINRA?
Yes. Jyothi San Juan has a current broker registration, under CRD 6777364.
Source: FINRA BrokerCheck
How can I verify Jyothi San Juan’s record?
Search CRD 6777364 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Jyothi San Juan’s full registration record.
Lawrence RestieriChief Executive Officer
Daniel BergChief Financial Officer
Patrick DunneChief Operating Officer- Michael BernardoChief Compliance Officer
- Douglas BessoChief Technology Officer
- Barry CovielloNational Director of Field Supervision
Scott HadleyChief Advisory Officer
Barrett LopezGeneral Counsel, Corporate and M&a
Jared SchwartzChief Risk Officer