Jerold Charles Swarbrick
Professional Summary
Jerold Charles Swarbrick, who also goes by Jerold C Swarbrick, is a registered financial advisor currently at OPTIVER US LLC located in Chicago, Illinois. Jerold is registered as a RR (Registered Representative) and started their career in finance in 1997. Jerold has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jerold C Swarbrick
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Videos & Posts
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Contact Information
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Years of Experience
29 years in the financial services industry
Current & Past Employments
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Current Firm
OPTIVER US LLC | OPTIVER US, LLC
Contact Information
Main Address
130 E. Randolph Street Suite 800, Chicago, IL 60601Mailing Address
130 E. Randolph Street Suite 800, Chicago, IL 60601Phone Number
(312) 821-9500Established
Illinois since 08/05/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OPTIVER PARTNERSHIP US LP | PARENT COMPANY | — |
| BRINKHUIS, RUTGER HENDRIK | CHIEF EXECUTIVE OFFICER/MANAGING DIRECTOR - US | 6753961 |
| DEATON, MICHAEL WILLIAM | CHIEF FINANCIAL OFFICER / CHIEF COMPLIANCE OFFICER / FINOP / PRINCIPAL FINANCIAL OFFICER / PRINCIPAL OPERATIONS OFFICER | 2964800 |
| ITKIN, ALEXANDER SAMUEL | CHIEF TECHNOLOGY OFFICER; MANAGER OF OPTIVER PARTNERSHIP US LP | 5967037 |
Disclosures
Regulatory Event
10Civil Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Jun 2002Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Dec 2004About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Dec 2002About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Jerold Charles Swarbrick's CRS (Customer Relationship Summary).
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