James H. Rojek
Professional summary
James H Rojek, who also goes by James Harold Rojek, Jim Rojek, is a registered financial professional currently at TRADESTATION SECURITIES, INC. located in Chicago, Illinois.
James is registered as a RR (Registered Representative) and started their career in finance in 2000. James has worked at 13 firms and has passed the SIE and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James H Rojek's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 30, 2021 - Present
TRADESTATION SECURITIES, INC.
Office #1: 120 South Riverside Plaza Suite 1650, Chicago, IL 60606July 7, 2021 - November 22, 2021
AVANT-GARDE TRADING SECURITIES
December 9, 2019 - January 15, 2021
PARKSIDE SECURITIES, INC.
November 26, 2019 - January 27, 2020
ABN AMRO CLEARING USA LLC
April 5, 2018 - September 4, 2018
WEALTHFRONT BROKERAGE LLC
October 28, 2014 - September 5, 2017
OPTIVER US LLC
April 30, 2004 - September 30, 2006
E*TRADE CAPITAL MARKETS - EXECUTION SERVICES LLC
April 30, 2004 - October 29, 2014
G1 EXECUTION SERVICES, LLC
September 20, 2002 - January 2, 2003
BOTTA CAPITAL PARTNERS, LLC
September 20, 2002 - May 30, 2003
BOTTA TRADING - LYNX DPM LLC
September 20, 2002 - May 3, 2004
BOTTA SPECIALIST, LLC
September 20, 2002 - May 3, 2004
BOTTA CAPITAL MANAGEMENT, LLC
November 29, 2000 - October 24, 2001
ING FINANCIAL MARKETS LLC
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
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
TRADESTATION SECURITIES, INC.
CRD#: 39473 / SEC#: , 8-48711
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADESTATION GROUP, INC. | OWNER - PARENT CORPORATION | |
| BOLEK, JOHN MITCHELL | PRINCIPAL OPERATIONS OFFICER | 2363046 |
| KOROTKIY, PETER | PRESIDENT & CHIEF OPERATING OFFICER | 2706102 |
| MORMILE-WOLPER, MYRA CHRISTINE | GENERAL COUNSEL AND ASSISTANT SECRETARY | 6753154 |
| ROJEK, JAMES H | CHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER | 3096214 |
| WALTON, HERBERT | CHIEF COMPLIANCE OFFICER | 4030847 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 4 |
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.
