Adam S. Brickner
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Adam Scott Brickner was a registered financial professional .
Adam is a previously registered financial professional and started their career in finance in 1986. Adam had worked at 13 firms and has passed the Series 63, Series 99TO, Series 52TO, Series 57TO, SIE, Series 55, Series 7, Series 14, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2023 - July 2, 2025
INTERACTIVE BROKERS LLC
July 16, 2021 - September 17, 2021
PROMETHEUM ATS
July 6, 2020 - May 26, 2021
AQUA SECURITIES L.P.
January 4, 2016 - May 26, 2021
GFI SECURITIES LLC
March 28, 2011 - January 11, 2016
BREAN CAPITAL, LLC
October 19, 2009 - April 5, 2011
MAXIM GROUP LLC
April 2, 2003 - October 26, 2009
HUDSON SECURITIES,INC.
December 13, 2002 - March 19, 2003
PUGLISI & CO.
August 1, 2002 - November 5, 2002
BROKERAGEAMERICA, LLC
January 24, 2002 - June 28, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 2, 1995 - January 24, 2002
HERZOG, HEINE, GEDULD, LLC
February 21, 1991 - October 2, 1995
UBS CAPITAL MARKETS L.P.
November 18, 1986 - January 18, 1991
NASH, WEISS & CO.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 5/1/1999
Limited Representative-Equity Trader ExamCurrent Firm
INTERACTIVE BROKERS LLC
CRD#: 36418 / SEC#: , 8-47257
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| IBG LLC | MANAGING MEMBER | |
| BRODY, PAUL JONATHAN | SECRETARY, PRINCIPAL OPERATIONS OFFICER | 1722066 |
| CHAIT, JONATHAN | EXECUTIVE VICE PRESIDENT, COO | 4582696 |
| FRIEDLAND, DAVID ERIC | MANAGING DIRECTOR-ASIAN OPERATIONS | 2715164 |
| GALIK, MILAN | CHIEF EXECUTIVE OFFICER | 2204066 |
| GELMAN, JONATHAN MICHAEL | CHIEF COMPLIANCE OFFICER | 5440103 |
| MANDELBAUM, ELAINE | GENERAL COUNSEL | 2957713 |
| MENICUCCI, JAMES | PRINCIPAL FINANCIAL OFFICER | 6590173 |
| SANDERS, STEVEN JAY | SENIOR VICE PRESIDENT, MARKETING AND PRODUCT DEVELOPMENT | 2812548 |
| SHAO-CHEN, KENGNING | TREASURER | 5910386 |
Disclosures
| Regulatory Event | 93 |
| Arbitration | 26 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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