Robert Moroz
Professional summary
Robert Moroz is a registered financial professional currently at WOLVERINE TRADING, LLC located in Chicago, Illinois.
Robert is registered as a RR (Registered Representative) and started their career in finance in 1993. Robert has worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 56 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Robert Moroz's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 23, 2015 - Present
WOLVERINE TRADING, LLC
Office #1: 175 W Jackson Suite 200, Chicago, IL 60604August 22, 2006 - October 9, 2006
MONADNOCK CAPITAL MANAGEMENT, LP
February 5, 1993 - November 1, 1993
OSAIC WEALTH, INC.
January 18, 1993 - March 15, 1993
LUX INVESTOR SERVICES CORPORATION
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 56
Date: 6/23/2015
Proprietary Trader Qualification ExaminationBOX Exchange LLC
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
MEMX LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Current Firm
WOLVERINE TRADING, LLC
CRD#: 36848 / SEC#: , 8-47484
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WOLVERINE HOLDINGS, L.P. | MANAGING MEMBER | |
| BELLICK, ROBERT ROSS | MANAGING DIRECTOR | 1715715 |
| CAVICKE, DAVID | CHIEF LEGAL OFFICER | 6027073 |
| GUST, CHRISTOPHER LAZARUS | MANAGING DIRECTOR | 2311366 |
| HENSCHEL, ERIC JONATHAN | MANAGING DIRECTOR | 3237017 |
| KULA, JUDITH MARIE | SERIES 27 FINANCIAL & OPERATIONS PRINCIPAL | |
| MCMAHON, CASEY JAMES | CHIEF COMPLIANCE OFFICER | 6117524 |
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.
