Herbert W. Sickling
Professional summary
Herbert William Sickling II, who also goes by Bill Sickling, is a registered financial professional currently at BROKERTEC AMERICAS LLC located in Chicago, Illinois.
Herbert is registered as a RR (Registered Representative) and started their career in finance in 1988. Herbert has worked at 4 firms and has passed the Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Herbert William Sickling II's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 6, 2017 - Present
BROKERTEC AMERICAS LLC
Office #1: 20 South Wacker Drive 21st Floor, Chicago, IL 60606June 20, 2003 - February 15, 2017
ICAP SECURITIES USA LLC
February 21, 1995 - February 3, 1997
J.P. MORGAN SECURITIES LLC
December 15, 1993 - June 21, 1994
ICAP SECURITIES USA LLC
May 17, 1988 - May 8, 1991
BARCLAYS CAPITAL INC.
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 ExaminationFINRA
Current Firm
BROKERTEC AMERICAS LLC
CRD#: 47477 / SEC#: , 8-51803
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BROKERTEC HOLDINGS INC. | 100% OWNERSHIP | |
| CALDERON, DAVID JASON | CHIEF FINANCIAL OFFICER | 4575354 |
| DENNIS, MICHAEL | DIRECTOR | 4192184 |
| HIRSCHMANN, ELISA M | CHIEF COMPLIANCE OFFICER AND DIRECTOR | 5112554 |
| WAKEFIELD, JONATHAN BISHOP | CEO - CHIEF EXECUTIVE OFFICER AND DIRECTOR | 1676639 |
| WEINMAN, ANDREW LEONARD | CHIEF OPERATIONS OFFICER AND DIRECTOR | 5209879 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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