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WU

William B. Upp

CBOE TRADING
Overland Park, KS 66211
Some features on this profile are disabled
CRD#: 2976682
WU

Professional summary

William Bryan Upp is a registered financial professional currently at CBOE TRADING, INC. located in Overland Park, Kansas.

William is registered as a RR (Registered Representative) and started their career in finance in 1998. William has worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 William Bryan Upp'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

September 6, 2011 - Present

CBOE TRADING, INC.

Office #1: 6800 West 115th Street Suite 260, Overland Park, KS 66211
BD
CRD#: 136734
Overland Park, KS
Past

June 8, 2000 - October 24, 2001

FREEDOM INVESTMENTS, INC.

BD
CRD#: 37674
EDISON, NJ
Past

February 1, 2000 - June 7, 2000

WEDBUSH SECURITIES INC.

BD
CRD#: 877
PASADENA, CA
Past

January 4, 1999 - October 28, 1999

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD
CRD#: 6694
ST. PETERSBURG, FL
Past

July 29, 1998 - January 4, 1999

ROBERT THOMAS SECURITIES, INC

BD
CRD#: 10147
ST. PETERSBURG, FL

State Registrations and Notice Filings

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

RR
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

RR
Kansas
(10/14/2011)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/20/1998
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/10/1998
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/9/2014
General Securities Principal Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

CT
CBOE TRADING, INC.
BATS TRADING, INC. | CBOE TRADING, INC.

CRD#: 136734 / SEC#: , 8-67043

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
6800 West 115th Street Suite 260, Overland Park, KS 66211
Mailing Address
6800 West 115th Street Suite 260, Overland Park, KS 66211
Phone number
(913) 815-7000
Established
Delaware since 06/16/2005
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CBOE SERVICES COMPANYOWNER
CHMIELEWSKI, COLE MICHAELPRESIDENT5740206
GOODMAN, SYDNEY LINDENFINOP7092589
ISAACSON, CHRISTOPHER ANDREWDIRECTOR5015729
SEXTON, JOHN PATRICKSECRETARY7152089
UPP, WILLIAM BRYANCHIEF COMPLIANCE OFFICER2976682
WILKINSON, ALLEN LLOYDVICE PRESIDENT7432624
YEAZEL, TROY CHARLESDIRECTOR5492474

Disclosures

Regulatory Event1

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

CBOE TRADING, INC.

CRD#: 136734Overland Park, KS 66211

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