Thomas J. Jackson

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CRD#: 2495581

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.

Thomas James Jackson was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1995. Thomas had worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 56, Series 55, Series 7, Series 3 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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)

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

February 7, 2024 - May 21, 2024

SIMPLEX TRADING, LLC

CRD#: 153585

CHICAGO, IL

Past

February 4, 2015 - February 12, 2016

WALLEYE TRADING LLC

CRD#: 136196

WAYZATA, MN

Past

April 1, 2009 - January 18, 2011

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

July 11, 2000 - February 15, 2002

HAMILTON PARTNERS LIMITED

CRD#: 29418

NEW YORK, NY

Past

May 26, 1998 - May 24, 2000

GEORGE WEISS & COMPANY LLC

CRD#: 41526

HARTFORD, CT

Past

May 22, 1998 - May 22, 2000

GEORGE WEISS ASSOCIATES, INC.

CRD#: 7683

HARTFORD, CT

Past

January 1, 1996 - April 15, 1998

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

October 30, 1995 - January 1, 1996

BARCLAYS DE ZOETE WEDD INCORPORATED

CRD#: 16080

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

Series 63

Date: 6/30/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 2/20/2024

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 2/5/2024

Securities Industry Essentials Examination

General Industry/Product Exam

Series 56

Date: 2/4/2015

Proprietary Trader Qualification Examination

General Industry/Product Exam

Series 55

Date: 11/15/2010

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 3/31/2009

General Securities Representative Examination

General Industry/Product Exam

Series 3

Date: 11/28/1995

National Commodity Futures Examination

Principal/Supervisory Exam

Series 24

Date: 2/8/1996

General Securities Principal Examination

Current Firm

SIMPLEX TRADING, LLC

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

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

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

Name	Position	CRD#
SIMPLEX HOLDCO, LLC	MANAGING MEMBER, OWNER
HAUFE, DAVID HARMON	CHIEF TECHNOLOGY OFFICER	5939783
KERLIN, DENNIS JOHN	CHIEF COMPLIANCE OFFICER	4757638
ROCKEY, JOAN KATHRYN	CHIEF FINANCIAL OFFICER, FINOP	4562343
SWANSON, ERIK THEODORE	CHIEF EXECUTIVE OFFICER	5941677

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.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Thomas J. Jackson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WALLEYE TRADING LLC

CREDIT SUISSE SECURITIES (USA) LLC

HAMILTON PARTNERS LIMITED

GEORGE WEISS & COMPANY LLC

GEORGE WEISS ASSOCIATES, INC.

BARCLAYS CAPITAL INC.

BARCLAYS DE ZOETE WEDD INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 6/30/2009

Series 57TO

Date: 2/20/2024

SIE

Date: 2/5/2024

Series 56

Date: 2/4/2015

Series 55

Date: 11/15/2010

Series 7

Date: 3/31/2009

Series 3

Date: 11/28/1995

Series 24

Date: 2/8/1996

Current Firm

SIMPLEX TRADING, LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

SIMPLEX TRADING, LLC

TRUST BUT VERIFY

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