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JN

John F. Novak

MATRIX EXECUTIONS
Chicago, IL 60604
Some features on this profile are disabled
CRD#: 2431957
JN

Professional summary

John Francis Novak, who also goes by Novak Francis John Francis, John Francis Novak, is a registered financial professional currently at MATRIX EXECUTIONS, LLC located in Chicago, Illinois.

John is registered as a RR (Registered Representative) and started their career in finance in 1994. John has worked at 12 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Novak Francis John Francis | John Francis Novak

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 John Francis Novak'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

January 23, 2026 - Present

MATRIX EXECUTIONS, LLC

Office #1: 141 W Jackson Blvd Suite 2020a, Chicago, IL 60604
BD
CRD#: 38455
Chicago, IL
Past

May 20, 2024 - December 16, 2024

MAXIM GROUP LLC

BD
CRD#: 120708
Stamford, CT
Past

August 18, 2023 - March 27, 2024

CLEAR STREET LLC

BD
CRD#: 288933
NEW YORK, NY
Past

April 9, 2021 - July 24, 2023

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
Darien, CT
Past

May 7, 2018 - March 29, 2021

CANTOR FITZGERALD & CO.

BD
CRD#: 134
SAN FRANCISCO, CA
Past

September 8, 2015 - May 18, 2018

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

October 6, 2011 - September 16, 2015

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

October 1, 2008 - October 28, 2011

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
NEW YORK, NY
Past

February 27, 2002 - October 1, 2008

J.P. MORGAN SECURITIES INC.

BD
CRD#: 18718
NEW YORK, NY
Past

April 3, 2001 - February 26, 2002

THOMAS WEISEL PARTNERS LLC

BD
CRD#: 46237
SAN FRANCISCO, CA
Past

October 22, 1996 - April 9, 2001

JPMSI

BD
CRD#: 15733
NEW YORK, NY
Past

April 7, 1994 - April 12, 1994

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

April 7, 1994 - October 31, 1996

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.

RR
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

RR
Alabama
(1/23/2026)
RR
Arizona
(1/23/2026)
RR
California
(1/23/2026)
RR
Colorado
(1/23/2026)
RR
Connecticut
(1/23/2026)
RR
Delaware
(1/23/2026)
RR
Florida
(1/23/2026)
RR
Georgia
(1/23/2026)
RR
Hawaii
(1/23/2026)
RR
Illinois
(1/23/2026)
RR
Indiana
(1/23/2026)
RR
Kansas
(1/23/2026)
RR
Kentucky
(1/23/2026)
RR
Maryland
(1/23/2026)
RR
Massachusetts
(1/23/2026)
RR
Michigan
(1/23/2026)
RR
Minnesota
(1/23/2026)
RR
Missouri
(1/23/2026)
RR
Nebraska
(1/23/2026)
RR
Nevada
(1/23/2026)
RR
New Jersey
(1/23/2026)
RR
New Mexico
(1/23/2026)
RR
New York
(1/23/2026)
RR
North Carolina
(1/23/2026)
RR
Pennsylvania
(1/23/2026)
RR
South Carolina
(1/23/2026)
RR
Texas
(1/23/2026)
RR
Virginia
(1/23/2026)
RR
Washington
(1/23/2026)
RR
Wisconsin
(1/23/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 4/28/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 12/13/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 12/31/2010
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 1/28/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/16/2006
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

ME
MATRIX EXECUTIONS, LLC
ITG DERIVATIVES LLC. | YOURTRADE.COM SECURITIES, INC. | REDSKY SECURITIES, LLC | REDSKY SECURITIES, INC. | REDSKY FINANCIAL, LLC | MATRIX EXECUTIONS, LLC | LAKE KATHERINE SECURITIES, LTD.

CRD#: 38455 / SEC#: , 8-48255

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
141 W Jackson Blvd Suite 2020a, Chicago, IL 60604
Mailing Address
141 W Jackson Blvd Suite 2020a, Chicago, IL 60604
Phone number
(312) 334-8040
Established
Illinois since 02/14/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (30 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MATRIX EXECUTIONS HOLDINGS, LLCMEMBER
GREENBERG, ALLEN DAVIDCHIEF OPERATIONS OFFICER1423999
NAYLOR, JORDAN WILLIAMCHIEF EXECUTIVE OFFICER2502309
RAZA, ZOHAIBCHIEF FINANCIAL OFFICER/FINOP7049272
WILLIAMS, JETAUN JENICECHIEF COMPLIANCE OFFICER & AMLCO3257770

Disclosures

Regulatory Event9

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

MATRIX EXECUTIONS, LLC

CRD#: 38455Chicago, IL 60604

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