Christopher R. Caldwell
Professional summary
Christopher Robert Caldwell, who also goes by Chris R Caldwell, Christopher R Caldwell, is a registered financial professional currently at DRW SECURITIES, L.L.C. located in Chicago, Illinois and DRW EXECUTION SERVICES, LLC located in Chicago, Illinois.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 2000. Christopher has worked at 8 firms and has passed the Series 63, Series 65, Series 57TO, Series 99TO, SIE, Series 7, Series 6, Series 14, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Christopher Robert Caldwell's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 23, 2015 - Present
DRW SECURITIES, L.L.C.
Office #1: 540 West Madison Street Suite 2500, Chicago, IL 60661January 9, 2018 - Present
DRW EXECUTION SERVICES, LLC
Office #1: 540 W. Madison St. Suite 2500, Chicago, IL 60661November 5, 2019 - Present
CUMBERLAND SECURITIES LLC
Office #1: 540 W. Madison St., Chicago, IL 60540January 21, 2015 - June 12, 2015
E*TRADE FUTURES LLC
April 5, 2012 - January 21, 2015
OPTIONSHOUSE1, LLC
August 30, 2010 - April 9, 2012
ABN AMRO CLEARING USA LLC
January 14, 2002 - November 13, 2003
G1 EXECUTION SERVICES, LLC
June 26, 2000 - October 10, 2000
PRUCO SECURITIES, 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationBOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX PEARL, LLC
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
CUMBERLAND SECURITIES LLC
CRD#: 13970 / SEC#: , 8-31215
Contact information
FINRA licenses (1 States and Territories)
Documents
Red Flags
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