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JS

Joseph J. Segert

Some features on this profile are disabled
CRD#: 3211566
JS

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.

Joseph J Segert was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 2021. Joseph had worked at 1 firm and has passed the Series 99TO and SIE 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 6, 2023 - February 28, 2023

DRW EXECUTION SERVICES, LLC

BD
CRD#: 290408
CHICAGO, IL
Past

February 2, 2021 - December 16, 2022

DRW EXECUTION SERVICES, LLC

BD
CRD#: 290408
CHICAGO, IL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 2/2/2021
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 12/29/2020
Securities Industry Essentials Examination

Current Firm

DE
DRW EXECUTION SERVICES, LLC
DRW EXECUTION SERVICES, LLC

CRD#: 290408 / SEC#: , 8-70030

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

Main Address
540 W. Madison St. Suite 2500, Chicago, IL 60661
Mailing Address
540 W. Madison St. Suite 2500, Chicago, IL 60661
Phone number
(312) 542-1000
Established
Delaware since 07/28/2010
Firm type
Limited Liability Company
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#
DRW HOLDINGS, LLCMEMBER
ARMOUR II, ROBERT WILLIAMCCO4447215
CALDWELL, CHRISTOPHER ROBERTDIRECTOR OF BROKER DEALER COMPLIANCE4182335
CALIXTO, CHRIZITACHIEF FINANCIAL OFFICER6564070
FOWLER, SCOTT ALANFINOP, PFO3004363
GARCHIK, ADAM TODDCEO2967638

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

DRW EXECUTION SERVICES, LLC

CRD#: 290408

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