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JZ

Jordan D. Zounis

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CRD#: 2426696
JZ

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.

Jordan Don Zounis, who also goes by Don Zounis, was a registered financial professional .

Jordan is a previously registered financial professional and started their career in finance in 1993. Jordan had worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 56, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


Don Zounis

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)


The CRS(Customer Relationship Summary) document is not provided.

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


Past

June 14, 2011 - November 9, 2017

SPOT TRADING L.L.C.

BD
CRD#: 47666
CHICAGO, IL
Past

December 7, 1993 - August 18, 1995

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

State Registrations and Notice Filings


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

Visual representation of state registrations

This advisor is not registered in any state.

Exams


State Security Law Exam
IAR
Series 65
Date: 12/21/1993
Uniform Investment Adviser Law Examination
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 56
Date: 8/22/2011
Proprietary Trader Qualification Examination
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 24
Date: 10/24/2011
General Securities Principal Examination

Current Firm


ST
SPOT TRADING L.L.C.
SPOT TRADING L.L.C. | SPOT TRADING, L.L.C.

CRD#: 47666 / SEC#: , 8-51855

BD
Terminated by SEC on 02/24/2018
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Contact information


Main Address
Mailing Address
Phone number
Established
Illinois since 05/28/1999
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents


Direct owners and executive officers


NamePositionCRD#
SPOT HOLDINGS L.P.MANAGER
BRODSKY, STEPHEN ARTHURCHIEF EXECUTIVE OFFICER2969588
CERNY, PATRICIA LCHIEF COMPLIANCE OFFICER4814964
HARAVON, EDWARD ALBERTCHIEF OPERATING OFFICER

Disclosures


Regulatory Event6

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.

Company Information


SPOT TRADING L.L.C.

CRD#: 47666

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