JS
Julie M. Siskovic
INSTINET
New York, NY 10019
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CRD#: 1385048
JS
Professional summary
Julie Marie Siskovic is a registered financial professional currently at INSTINET, LLC located in New York, New York.
Julie is registered as a RR (Registered Representative) and started their career in finance in 1985. Julie has worked at 11 firms and has passed the Series 63, SIE, Series 19, Series 57, Series 87, Series 3, Series 7, Series 24, Series 14 and Series 4 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Julie Marie Siskovic'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
April 22, 2019 - Present
INSTINET, LLC
Office #1: Worldwide Plaza 309 West 49th Street, New York, NY, 10019RIA
BD
CRD#: 7897
New York, NY
Past
July 16, 2012 - April 12, 2019
ROSENBLATT SECURITIES INC.
BD
CRD#: 18377
NEW YORK, NY
Past
September 2, 2008 - January 9, 2012
WJB CAPITAL GROUP, INC.
BD
CRD#: 37334
NEW YORK, NY
Past
February 23, 2007 - August 19, 2008
SRT SECURITIES LLC
BD
CRD#: 33725
BIRMINGHAM, MI
Past
March 30, 2005 - March 5, 2007
HAPOALIM SECURITIES USA, INC.
BD
CRD#: 266
NEW YORK, NY
Past
August 30, 2002 - November 13, 2003
PALI CAPITAL, INC.
BD
CRD#: 117783
NEW YORK, NY
Past
October 2, 1996 - September 3, 2002
LEK SECURITIES CORPORATION
BD
CRD#: 33135
NEW CITY, NY
Past
February 26, 1993 - October 3, 1995
ALEX. BROWN & SONS INCORPORATED
BD
CRD#: 20
Past
December 4, 1989 - July 29, 1991
DKB SECURITIES CORPORATION
BD
CRD#: 24155
Past
November 12, 1986 - February 1, 1988
CITICORP SECURITIES, INC.
BD
CRD#: 7474
Past
July 23, 1985 - November 5, 1986
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
INSTINET, LLC
INC TRADING CORPORATION | INSTINET, LLC | INSTINET CLEARING SERVICES, INC.
CRD#: 7897 / SEC#: 801-108490, 8-23669
RIA
Registered Investment Advisory firm - SEC (10/26/2016 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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
New York(4/22/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 19
Date: 4/20/2017
NYSE Floor Clerk - Equities ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
INSTINET, LLC
INC TRADING CORPORATION | INSTINET, LLC | INSTINET CLEARING SERVICES, INC.
CRD#: 7897 / SEC#: 801-108490, 8-23669
RIA
Registered Investment Advisory firm - SEC (10/26/2016 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
Worldwide Plaza 309 West 49th Street, New York, NY, 10019
Mailing Address
Worldwide Plaza 309 West 49th Street, New York, NY, 10019
Phone number
(212) 310-9500
Established
Delaware since 06/01/2006
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Medium
# of Employees
291
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSTINET HOLDINGS INCORPORATED | DIRECT OWNER | |
| CHIULLI, EUGENE JAMES | CHIEF FINANCIAL OFFICER | 2976702 |
| CONE, RANDI J | CHIEF COMPLIANCE OFFICER | 4811453 |
| KENNIFF, ALICE M | ASSOCIATE GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISER) | 5615714 |
| MAURO, LUKE | HEAD OF OPERATIONS | 4188932 |
| MILLIGAN, GERARD THOMAS | PRESIDENT | 2907544 |
| SCHAFFNER, CHRISTY E | PRINCIPAL FINANCIAL OFFICER | 2710171 |
| SISKOVIC, JULIE MARIE | CHIEF COMPLIANCE OFFICER (BROKER-DEALER, CBOE/C2) | 1385048 |
| WEBB, FARON ROSS | GENERAL COUNSEL | 2452057 |
Disclosures
| Regulatory Event | 63 |
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.
