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JP

Joseph J. Pondelicek

SIMPLEX TRADING
Chicago, IL 60604
Some features on this profile are disabled
CRD#: 2676366
JP

Professional summary

Joseph James Pondelicek, who also goes by Joseph Pondelicek, is a registered financial professional currently at SIMPLEX TRADING, LLC located in Chicago, Illinois.

Joseph is registered as a RR (Registered Representative) and started their career in finance in 2011. Joseph has worked at 2 firms and has passed the Series 57TO, SIE and Series 3 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joseph Pondelicek

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 Joseph James Pondelicek'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

March 20, 2021 - Present

SIMPLEX TRADING, LLC

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

April 15, 2011 - May 1, 2017

BRIAN LUDDEN LLC

BD
CRD#: 119853
CHICAGO, IL

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

General Industry/Product Exam
RR
Series 57TO
Date: 3/20/2021
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 2/27/2021
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 10/18/1995
National Commodity Futures Examination
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA

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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