Claybourne A. White
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.
Claybourne Arthur White was a registered financial professional .
Claybourne is a previously registered financial professional and started their career in finance in 1987. Claybourne had worked at 5 firms and has passed the Series 63, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 14, 2005 - July 20, 2006
BELLEVUE CHICAGO, LLC
October 28, 2002 - December 31, 2004
NT SECURITIES LLC
June 21, 2002 - September 18, 2002
POINT DIREX SECURITIES, LLC
April 11, 2001 - April 22, 2002
S&L, L.L.C.
November 25, 1987 - June 23, 1988
THE STUART-JAMES COMPANY, INCORPORATED
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 55
Date: 11/11/2002
Limited Representative-Equity Trader ExamCurrent Firm
BELLEVUE CHICAGO, LLC
CRD#: 106069 / SEC#: , 8-52991
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THINKORSWIM HOLDINGS INC. | OWNER | |
| BUNCH, JOHN BRADLEY | DIRECTOR | 1908764 |
| CHOCHON, MICHAEL DOUGLAS | CFO/FINOP | 3203736 |
| DAVIDSON, FELIX BEARD | VP, MANAGING DIRECTOR, OPERATIONS | 3061512 |
| GERBER, WILLIAM JOSEPH | DIRECTOR | 1769810 |
| GRADY, ANN MARIE | CHIEF COMPLIANCE OFFICER | 4505862 |
| SHERIDAN, SCOTT DANIEL | EXECUTIVE VICE PRESIDENT | 2420659 |
| SOSNOFF, TOM | EXECUTIVE VICE PRESIDENT | 704235 |
| YATES, WILLIAM THOMAS | PRESIDENT | 2749545 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
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.
