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BJ

Brian C. Jones

LIGHTSPEED FINANCIAL SERVICES GROUP LLC
Chicago, IL 60604
Some features on this profile are disabled
CRD#: 3173457
BJ

Professional summary

Brian Charles Jones is a registered financial professional currently at LIGHTSPEED FINANCIAL SERVICES GROUP LLC located in Chicago, Illinois.

Brian is registered as a RR (Registered Representative) and started their career in finance in 1999. Brian has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 24 and Series 4 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 Brian Charles Jones'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

May 1, 2018 - Present

LIGHTSPEED FINANCIAL SERVICES GROUP LLC

Office #1: 141 W. Jackson Blvd Suite 1710a, Chicago, IL 60604
BD
CRD#: 104369
Chicago, IL
Past

August 3, 2010 - May 7, 2018

LIGHTSPEED TRADING, LLC

BD
CRD#: 35519
CHICAGO, IL
Past

October 5, 2000 - November 2, 2010

TERRA NOVA FINANCIAL, LLC

BD
CRD#: 37761
CHICAGO, IL
Past

June 11, 1999 - September 18, 2000

WEB STREET SECURITIES, INC.

BD
CRD#: 37733
DEERFIELD, IL
Past

February 3, 1999 - May 11, 1999

JWGENESIS FINANCIAL GROUP, INC

BD
CRD#: 38166
BOCA RATON, 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
California
(5/1/2018)
RR
Illinois
(5/1/2018)
RR
Nevada
(5/1/2018)
RR
New Jersey
(5/1/2018)
RR
New York
(5/1/2018)
RR
North Carolina
(5/1/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 2/5/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 11/28/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 2/2/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/9/2018
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/12/1999
Registered Options Principal Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX 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
NYSE National, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

LF
LIGHTSPEED FINANCIAL SERVICES GROUP LLC
LIGHTSPEED | LIME BROKERAGE LLC | LIGHTSPEED FINANCIAL SERVICES GROUP LLC

CRD#: 104369 / SEC#: , 8-52843

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

Main Address
20 Headquarters Plaza North Tower 7th Floor, Morristown, NJ, 07960
Mailing Address
20 Headquarters Plaza North Tower 7th Floor, Morristown, NJ, 07960
Phone number
(888) 577-3123
Established
Delaware since 08/03/2000
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LIGHTSPEED HOLDINGS LLCDIRECT OWNER
CHUN, YUEN NAFINOP2219603
GIBB, THOMAS ANTHONYPRESIDENT/CHIEF OPERATING OFFICER/PRINCIPAL OPERATIONS OFFICER4750905
NAIB, FARID AHMEDCEO6285310
PETZOLD, KEITH WILLIAMCHIEF COMPLIANCE OFFICER2944070
WEDBUSH FINANCIAL SERVICES, LLCDIRECT OWNER

Disclosures

Regulatory Event42

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

LIGHTSPEED FINANCIAL SERVICES GROUP LLC

CRD#: 104369Chicago, IL 60604

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