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GS

Gary D. Sparks

GROUP ONE TRADING LLC
Chicago, IL 60605
Some features on this profile are disabled
CRD#: 1076357
GS

Professional summary

Gary Duane Sparks is a registered financial professional currently at GROUP ONE TRADING LLC located in Chicago, Illinois.

Gary is registered as a RR (Registered Representative) and started their career in finance in 1993. Gary has worked at 4 firms and has passed the Series 63, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gary Duane Sparks'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

September 22, 2010 - Present

GROUP ONE TRADING LLC

Office #1: 425 S Financial Place Suite 3400, Chicago, IL 60605
BD
CRD#: 37484
Chicago, IL
Past

April 2, 1998 - December 31, 2004

BAYSIDE FINANCIAL, LLC

BD
CRD#: 44211
WALNUT CREEK, CA
Past

October 12, 1994 - August 24, 1995

BAYSIDE CAPITAL PARTNERS, L.P.

BD
CRD#: 36593
SAN FRANCISCO, CA
Past

June 28, 1993 - January 14, 2004

SHARE KING, LLC

BD
CRD#: 33150
SAN FRANCISCO, CA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/2/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/3/1992
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/21/1993
General Securities Principal Examination
SRO Registrations
RR
NYSE Arca, Inc.

Current Firm

GO
GROUP ONE TRADING LLC
GROUP ONE TRADING LLC | GROUP ONE TRADING, L.P.

CRD#: 37484 / SEC#: , 8-47762

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
425 S Financial Place Suite 3400, Chicago, IL 60605
Mailing Address
425 S Financial Place Suite 3400, Chicago, IL 60605
Phone number
(312) 347-8864
Established
Delaware since 10/01/2024
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
GROUP ONE HOLDINGS LLCMEMBER
GROSAM, CHAD JAMESCHIEF FINANCIAL OFFICER4510772
HUTCHINSON, JAMES FRANCISCHIEF OPERATING OFFICER2425738
KINAHAN, JOHN ANTHONYCEO5877952
TONDO-KRAMER, KYLECHIEF COMPLIANCE OFFICER6034373

Disclosures

Regulatory Event33

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.

Company Information

GROUP ONE TRADING LLC

CRD#: 37484Chicago, IL 60605

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