Cari N. Miller

BIDS TRADING L.P.

New York, NY 10006

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CRD#: 2364564

Professional summary

Cari Nicole Miller, who also goes by Cari Nicole Litman, is a registered financial professional currently at BIDS TRADING L.P. located in New York, New York.

Cari is registered as a RR (Registered Representative) and started their career in finance in 1993. Cari has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Cari Nicole Litman

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Cari Nicole Miller'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®

None

Experience

Current

October 11, 2012 - Present

BIDS TRADING L.P.

Office #1: One Liberty Plaza 165 Broadway 23rd Floor, New York, NY, 10006

CRD#: 141296

New York, NY

Past

March 11, 2003 - September 19, 2012

LIQUIDNET, INC.

CRD#: 103987

PORTLAND, OR

Past

March 7, 2000 - March 3, 2003

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

October 28, 1996 - March 8, 2000

BLACK & COMPANY, INC.

CRD#: 95

PORTLAND, OR

Past

July 27, 1993 - March 10, 1995

MONTGOMERY SECURITIES

CRD#: 4357

SAN FRANCISCO, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(10/11/2012)

Exams

State Security Law Exam

Series 63

Date: 12/13/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 11/23/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 7/26/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/15/2008

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

BIDS TRADING L.P.

CRD#: 141296 / SEC#: , 8-67376

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

One Liberty Plaza 165 Broadway 23rd Floor, New York, NY, 10006

Mailing Address

One Liberty Plaza 165 Broadway 23rd Floor, New York, NY, 10006

Phone number

(212) 618-2060

Established

Delaware since 06/14/2006

Firm type

Partnership

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
BIDS HOLDINGS L.P.	SOLE LIMITED PARTNER
BERTE, STEPHEN	PRESIDENT	6813438
BIDS HOLDINGS GP LLC	GENERAL PARTNER
BOLTON, STEPHEN ANTHONY	PRINCIPAL FINANCIAL OFFICER	7201776
LAZO, THEODORE RICHARD	CHIEF LEGAL OFFICER	7215911
SARHAN, ADEL	CHIEF OPERATING OFFICER	5354052
SMITH, BRIAN	CHIEF COMPLIANCE OFFICER	2866603

Disclosures

Regulatory Event

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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Advisor Monitoring

Firm Stability Insights

Cari N. Miller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Cari Nicole Miller's CRS (Customer Relationship Summary).

Certified licenses

Experience

LIQUIDNET, INC.

BANC OF AMERICA SECURITIES LLC

BLACK & COMPANY, INC.

MONTGOMERY SECURITIES

State Registrations and Notice Filings

Exams

Series 63

Date: 12/13/1996

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 11/23/1999

Series 7

Date: 7/26/1993

Series 24

Date: 12/15/2008

FINRA

Current Firm

BIDS TRADING L.P.

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

BIDS TRADING L.P.

TRUST BUT VERIFY

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