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BR

Brett E. Rootberg

SIMPLEX TRADING
Chicago, IL 60604
Some features on this profile are disabled
CRD#: 2653399
BR

Professional summary

Brett Eric Rootberg, who also goes by Bret Eric Rootberg, is a registered financial professional currently at SIMPLEX TRADING, LLC located in Chicago, Illinois.

Brett is registered as a RR (Registered Representative) and started their career in finance in 1995. Brett has worked at 5 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 56, Series 55, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bret Eric Rootberg

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 Brett Eric Rootberg'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

July 16, 2014 - Present

SIMPLEX TRADING, LLC

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

November 28, 2011 - August 23, 2012

SIMPLEX TRADING, LLC

BD
CRD#: 153585
CHICAGO, IL
Past

April 27, 2006 - September 11, 2008

ECHOTRADE LLC

BD
CRD#: 42239
PHOENIX, AZ
Past

February 3, 2004 - February 24, 2004

BANC ONE SECURITIES CORPORATION

RIA
CRD#: 16999
CHICAGO, IL
Past

January 28, 2004 - February 24, 2004

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

October 14, 1997 - January 16, 2004

THE THIRD MARKET CORP.

BD
CRD#: 30181
CHICAGO, IL
Past

December 18, 1995 - July 14, 1997

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PURCHASE, 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: 6/6/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/28/1995
Uniform Securities Agent State 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 56
Date: 11/26/2011
Proprietary Trader Qualification Examination
General Industry/Product Exam
RR
Series 55
Date: 10/27/1999
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 3
Date: 6/18/1997
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 12/16/1995
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/3/2003
General Securities Principal Examination
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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