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Scott M. Cygan

SIMPLEX TRADING
Chicago, IL 60604
Some features on this profile are disabled
CRD#: 2451696
SC

Professional summary

Scott Matthew Cygan is a registered financial professional currently at SIMPLEX TRADING, LLC located in Chicago, Illinois.

Scott is registered as a RR (Registered Representative) and started their career in finance in 1994. Scott has worked at 7 firms and has passed the Series 63, Series 65, Series 57TO, SIE, Series 7, Series 3, Series 56, Series 55 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Scott Matthew Cygan'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

May 28, 2020 - Present

SIMPLEX TRADING, LLC

Office #1: 230 S. Lasalle Street Suite 08-500, Chicago, IL 60604
BD
CRD#: 153585
Chicago, IL
Past

March 16, 2018 - June 12, 2020

E*TRADE SECURITIES LLC

BD
CRD#: 29106
CHICAGO, IL
Past

June 8, 2012 - November 7, 2017

SPOT TRADING L.L.C.

BD
CRD#: 47666
CHICAGO, IL
Past

March 31, 1999 - March 22, 2001

KEYBANC CAPITAL MARKETS INC.

BD
CRD#: 566
CLEVELAND, OH
Past

January 6, 1998 - March 15, 1999

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

October 11, 1994 - January 21, 1997

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

March 8, 1994 - October 11, 1994

AMERICA NORTHCOAST SECURITIES, INC.

BD
CRD#: 16076
CLEVELAND, OH

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
RR
Series 63
Date: 4/13/2018
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 11/3/1994
Uniform Investment Adviser Law 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 7
Date: 4/4/2018
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 10/29/2014
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 56
Date: 6/7/2012
Proprietary Trader Qualification Examination
General Industry/Product Exam
RR
Series 55
Date: 4/18/2000
Limited Representative-Equity Trader Exam
Principal/Supervisory Exam
RR
Series 8
Date: 9/29/1998
General Securities Sales Supervisor Examination (Options Module & General Module)
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

ST
SIMPLEX TRADING, LLC
MULTIPLEX TRADING LLC | SIMPLEX TRADING, LLC | SET TRADING PARTNERS, LLC

CRD#: 153585 / SEC#: , 8-68556

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

Main Address
230 S. Lasalle Street Suite 08-500, Chicago, IL 60604
Mailing Address
230 S. Lasalle Street Suite 08-500, Chicago, IL 60604
Phone number
(312) 360-2440
Established
Delaware since 02/22/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SIMPLEX HOLDCO, LLCMANAGING MEMBER, OWNER
HAUFE, DAVID HARMONCHIEF TECHNOLOGY OFFICER5939783
KERLIN, DENNIS JOHNCHIEF COMPLIANCE OFFICER4757638
ROCKEY, JOAN KATHRYNCHIEF FINANCIAL OFFICER, FINOP4562343
SWANSON, ERIK THEODORECHIEF EXECUTIVE OFFICER5941677

Disclosures

Regulatory Event4

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

SIMPLEX TRADING, LLC

CRD#: 153585Chicago, IL 60604

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