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JL

James Litwin

IMC EXECUTION SERVICES
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 4131223
JL

Professional summary

James Litwin, who also goes by James Frederick Litwin, is a registered financial professional currently at IMC EXECUTION SERVICES located in Chicago, Illinois and IMC FINANCIAL MARKETS located in Chicago, Illinois.

James is registered as a RR (Registered Representative) and started their career in finance in 2000. James has worked at 11 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 7, Series 52, Series 4, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Frederick Litwin

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 James Litwin'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

April 13, 2026 - Present

IMC EXECUTION SERVICES

Office #1: 233 S Wacker Drive #4300, Chicago, IL 60606
BD
CRD#: 301273
Chicago, IL
Current

April 13, 2026 - Present

IMC FINANCIAL MARKETS

Office #1: 233 South Wacker Drive #4300, Chicago, IL 60606
BD
CRD#: 104143
Chicago, IL
Past

March 2, 2018 - August 1, 2025

HRT EXECUTION SERVICES LLC

BD
CRD#: 128491
NEW YORK, NY
Past

January 27, 2010 - August 1, 2025

HRT FINANCIAL LP

BD
CRD#: 152144
New York, NY
Past

April 17, 2008 - January 4, 2010

MACQUARIE CAPITAL (USA) INC.

BD
CRD#: 36368
NEW YORK, NY
Past

December 19, 2006 - October 5, 2007

OCTEG, LLC

BD
CRD#: 117429
CHICAGO, IL
Past

March 1, 2002 - December 19, 2003

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
NORWALK, CT
Past

October 4, 2001 - September 16, 2003

CAPITAL BROKERAGE CORPORATION

BD
CRD#: 10465
GLEN ALLEN, VA
Past

September 28, 2001 - October 28, 2003

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
SCHAUMBURG, IL
Past

July 20, 2000 - September 18, 2001

GE INVESTMENT DISTRIBUTORS, INC

BD
CRD#: 32087
STAMFORD, CT
Past

February 10, 2000 - June 19, 2000

AMERIPRISE ADVISOR SERVICES, INC.

BD
CRD#: 5979
DETROIT, MI

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

State Security Law Exam
IAR
Series 65
Date: 2/1/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/18/2000
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 7
Date: 5/1/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 52
Date: 2/9/2000
Municipal Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/2/2023
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/24/2001
General Securities Principal Examination
SRO Registrations
RR
BOX Exchange LLC
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
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

IF
IMC FINANCIAL MARKETS
HOLLAND TRADING HOUSE LLC | IMC-CHICAGO, LLC | IMC FINANCIAL MARKETS

CRD#: 104143 / SEC#: , 8-52600

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

Main Address
233 South Wacker Drive #4300, Chicago, IL 60606
Mailing Address
233 South Wacker Drive #4300, Chicago, IL 60606
Phone number
(312) 244-3300
Established
Illinois since 04/27/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
IMC AMERICAS, INC.MEMBER
DOWNEY, JASON EDWARDCCO6080734
HANSEN, CHRISTINE ECEO5679799
HOFFMAN, ADAM MICHAELCOO, CFO, PFO, POO5579229
TAYLOR, LAURA DENISEFINOP7116097

Disclosures

Regulatory Event35

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

IMC FINANCIAL MARKETS

CRD#: 104143Chicago, IL 60606

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