Stephen C. Frickx

TASTYTRADE

Chicago, IL 60607

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CRD#: 2835431

Professional summary

Stephen Charles Frickx, who also goes by Steve Frickx, Steven Frickx, is a registered financial professional currently at TASTYTRADE, INC. located in Chicago, Illinois.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 1998. Stephen has worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7, Series 6, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Steve Frickx | Steven Frickx

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 Stephen Charles Frickx's CRS (Customer Relationship Summary).

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

February 16, 2021 - Present

TASTYTRADE, INC.

Office #1: 1330 West Fulton Street Suite 600, Chicago, IL 60607

CRD#: 277027

Chicago, IL

Past

August 7, 2017 - February 18, 2021

E*TRADE SECURITIES LLC

CRD#: 29106

CHICAGO, IL

Past

January 21, 2015 - August 7, 2017

E*TRADE FUTURES LLC

CRD#: 145562

CHICAGO, IL

Past

December 9, 2010 - January 21, 2015

OPTIONSHOUSE1, LLC

CRD#: 135625

CHICAGO, IL

Past

July 16, 2007 - February 21, 2008

J.P. MORGAN SECURITIES INC.

CRD#: 18718

CHICAGO, IL

Past

December 3, 2004 - December 3, 2010

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

CHICAGO, IL

Past

February 27, 2004 - July 27, 2006

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

April 8, 1998 - March 6, 2002

DWS DISTRIBUTORS, INC.

CRD#: 37306

CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(2/16/2021)

Alaska
(2/16/2021)

Arizona
(2/16/2021)

Arkansas
(2/16/2021)

California
(2/16/2021)

Colorado
(2/16/2021)

Connecticut
(2/16/2021)

Delaware
(2/16/2021)

District of Columbia
(2/16/2021)

Florida
(2/16/2021)

Georgia
(2/16/2021)

Hawaii
(2/16/2021)

Idaho
(2/16/2021)

Illinois
(2/16/2021)

Indiana
(2/16/2021)

Iowa
(2/16/2021)

Kansas
(2/16/2021)

Kentucky
(2/16/2021)

Louisiana
(2/16/2021)

Maine
(2/16/2021)

Maryland
(2/16/2021)

Massachusetts
(2/16/2021)

Michigan
(2/16/2021)

Minnesota
(2/16/2021)

Mississippi
(2/16/2021)

Missouri
(2/16/2021)

Montana
(2/16/2021)

Nebraska
(2/16/2021)

Nevada
(2/16/2021)

New Hampshire
(2/16/2021)

New Jersey
(2/16/2021)

New Mexico
(2/16/2021)

New York
(2/16/2021)

North Carolina
(2/16/2021)

North Dakota
(2/16/2021)

Ohio
(2/17/2021)

Oklahoma
(2/16/2021)

Oregon
(2/16/2021)

Pennsylvania
(2/16/2021)

Puerto Rico
(2/16/2021)

Rhode Island
(2/16/2021)

South Carolina
(2/16/2021)

South Dakota
(2/16/2021)

Tennessee
(2/16/2021)

Texas
(2/16/2021)

Utah
(2/16/2021)

Vermont
(2/16/2021)

Virgin Islands
(2/16/2021)

Virginia
(2/16/2021)

Washington
(2/16/2021)

West Virginia
(2/16/2021)

Wisconsin
(2/16/2021)

Wyoming
(2/16/2021)

Exams

State Security Law Exam

Series 63

Date: 6/26/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 7/7/2016

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 10/26/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/7/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 4

Date: 7/28/2017

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/13/2005

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

TASTYTRADE, INC.

TASTYTRADE, INC. | TASTYWORKS, INC.

CRD#: 277027 / SEC#: , 8-69649

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

1330 West Fulton Street Suite 600, Chicago, IL 60607

Mailing Address

1330 West Fulton Street Suite 600, Chicago, IL 60607

Phone number

(312) 724-7075

Established

Delaware since 06/22/2015

Firm type

Corporation

Fiscal year end

May

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
TASTYLIVE, INC.	OWNER
ADLER, KERRY ANN PATRICIA	INTERIM CHIEF COMPLIANCE OFFICER	3269947
BRASIL DE OLIVEIRA, LUIS FERNANDO	CHIEF OPERATING OFFICER	5652832
CHIOU, JASON	HEAD OF CLIENT BROKERAGE SERVICES	6757512
GRACE, CHRISTOPHER WILLIAM	HEAD OF BROKERAGE TRADING OPERATIONS	5985000
MONTERRUBIO, DAMON	AML COMPLIANCE OFFICER	5565532
SLOAN, JACQUELINE LEE	FINOP	2717305

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

Stephen C. Frickx

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Stephen Charles Frickx's CRS (Customer Relationship Summary).

Certified licenses

Experience

E*TRADE SECURITIES LLC

E*TRADE FUTURES LLC

OPTIONSHOUSE1, LLC

J.P. MORGAN SECURITIES INC.

CHASE INVESTMENT SERVICES CORP.

BANC ONE SECURITIES CORPORATION

DWS DISTRIBUTORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/26/1998

SIE

Date: 10/1/2018

Series 3

Date: 7/7/2016

Series 7

Date: 10/26/1999

Series 6

Date: 4/7/1998

Series 4

Date: 7/28/2017

Series 24

Date: 6/13/2005

FINRA

Current Firm

TASTYTRADE, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TASTYTRADE, INC.

TRUST BUT VERIFY

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