Andrew J. Schroder
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.
Andrew Julian Schroder, who also goes by Andrew Julian Schroder IV, Andrew Julian Schroeder Iv, was a registered financial professional .
Andrew is a previously registered financial professional and started their career in finance in 1998. Andrew had worked at 8 firms and has passed the Series 63, Series 3, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2012 - October 21, 2013
BRIGHT TRADING, LLC
August 30, 2012 - September 25, 2012
ECHOTRADE LLC
May 13, 2010 - October 8, 2010
ECHOTRADE LLC
January 13, 2010 - May 11, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
March 26, 2008 - May 15, 2009
ECHOTRADE LLC
November 20, 2006 - September 27, 2007
ECHOTRADE LLC
October 11, 2006 - November 7, 2006
TAFFERER TRADING, LLC
September 9, 2003 - April 23, 2004
REDWOOD TRADING, LLC
March 12, 2003 - May 29, 2003
STG SECURE TRADING GROUP, INC.
August 27, 2002 - March 7, 2003
REDWOOD TRADING, LLC
May 18, 1999 - May 24, 2001
RUMSON CAPITAL, LLC
October 7, 1998 - March 16, 1999
PROTECTIVE GROUP SECURITIES CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 3/13/2010
Limited Representative-Equity Trader ExamCurrent Firm
BRIGHT TRADING, LLC
CRD#: 34702 / SEC#: , 8-44990
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRIGHT INVESTMENTS, LLC | MANAGING MEMBER | |
| ARLINSKY, KOSTA | TRADER | 5510518 |
| ARLINSKY, STEVE | TRADER | 5510563 |
| JONES, KEN ANDO | TRADER | 5512985 |
| SORGIC, SINISA | TRADER | 5513001 |
| ANDERSON, DIANA ELIZABETH | COMPLIANCE DIRECTOR/ CHIEF COMPLIANCE OFFICER | 4894089 |
| BRIGHT, ROBERT ALVIN | CEO, CFO | 1148394 |
| CHAN, STEPHEN KEI ON | TRADER | 5571223 |
| FRIESEN, ROBIN DALE | PRESIDENT/CHIEF OPERATING OFFICER | 5518030 |
| ROSS, CHRISTINE ANGEL | CFO, FINOP | 5512412 |
| SHILLETTO, ANDREW E MR. | TRADER | 4793136 |
| WALENTINY, CARLO ANNE JOSEPH | TRADER | 5518113 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
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.
