John R. Denza
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.
John Richard Denza was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1999. John had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 55 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2007 - July 14, 2017
CBOE TRADING, INC.
April 15, 2003 - July 24, 2003
INSTINET, LLC
January 16, 2003 - July 24, 2003
INSTINET, LLC
January 28, 2002 - July 24, 2003
NASDAQ CAPITAL MARKETS ADVISORY LLC
January 27, 2000 - July 24, 2003
INET ATS, INC.
September 27, 1999 - January 25, 2000
IDS LIFE INSURANCE COMPANY
September 27, 1999 - January 25, 2000
AMERIPRISE FINANCIAL SERVICES, 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
Series 55
Date: 2/22/2000
Limited Representative-Equity Trader ExamCurrent Firm
CBOE TRADING, INC.
CRD#: 136734 / SEC#: , 8-67043
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CBOE SERVICES COMPANY | OWNER | |
| CHMIELEWSKI, COLE MICHAEL | PRESIDENT | 5740206 |
| GOODMAN, SYDNEY LINDEN | FINOP | 7092589 |
| ISAACSON, CHRISTOPHER ANDREW | DIRECTOR | 5015729 |
| SEXTON, JOHN PATRICK | SECRETARY | 7152089 |
| UPP, WILLIAM BRYAN | CHIEF COMPLIANCE OFFICER | 2976682 |
| WILKINSON, ALLEN LLOYD | VICE PRESIDENT | 7432624 |
| YEAZEL, TROY CHARLES | DIRECTOR | 5492474 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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