James M. Flax
Professional summary
James Martin Flax, who also goes by Jim Flax, is a registered financial professional currently at TRADESTATION SECURITIES, INC. located in Chicago, Illinois.
James is registered as a RR (Registered Representative) and started their career in finance in 2001. James has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 10, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Martin Flax's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 30, 2017 - Present
TRADESTATION SECURITIES, INC.
Office #1: 120 South Riverside Plaza Suite 1650, Chicago, IL 60606October 13, 2003 - November 12, 2015
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
March 6, 2001 - June 25, 2004
FIRST OPTIONS OF CHICAGO, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/30/2017)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 1/22/2003
Limited Representative-Equity Trader ExamCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
TRADESTATION SECURITIES, INC.
CRD#: 39473 / SEC#: , 8-48711
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRADESTATION GROUP, INC. | OWNER - PARENT CORPORATION | |
| BOLEK, JOHN MITCHELL | PRINCIPAL OPERATIONS OFFICER | 2363046 |
| KOROTKIY, PETER | PRESIDENT & CHIEF OPERATING OFFICER | 2706102 |
| MORMILE-WOLPER, MYRA CHRISTINE | GENERAL COUNSEL AND ASSISTANT SECRETARY | 6753154 |
| ROJEK, JAMES H | CHIEF FINANCIAL OFFICER & PRINCIPAL FINANCIAL OFFICER | 3096214 |
| WALTON, HERBERT | CHIEF COMPLIANCE OFFICER | 4030847 |
Disclosures
| Regulatory Event | 28 |
| Arbitration | 4 |
Red Flags
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