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KL

Kevin P. Looby

OLD MISSION MARKETS LLC
Chicago, IL 60602
Some features on this profile are disabled
CRD#: 4229297
KL

Professional summary

Kevin Peter Looby is a registered financial professional currently at OLD MISSION MARKETS LLC located in Chicago, Illinois and OLD MISSION CAPITAL, LLC located in Chicago, Illinois.

Kevin is registered as a RR (Registered Representative) and started their career in finance in 2000. Kevin has worked at 6 firms and has passed the Series 65, Series 63, Series 57TO, Series 7TO, SIE, Series 3, Series 7, Series 6, Series 14, Series 4, Series 27 and Series 24 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) - BD

Click below to view Kevin Peter Looby'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

November 9, 2020 - Present

OLD MISSION MARKETS LLC

Office #1: 1 N. Dearborn St. 8th Floor, Chicago, IL 60602
BD
CRD#: 281867
Chicago, IL
Current

November 9, 2020 - Present

OLD MISSION CAPITAL, LLC

Office #1: 1 N. Dearborn St. 8th Floor, Chicago, IL 60602Office #2: 1 N. Dearborn St. 8th Floor, Chicago, IL 60602
BD
CRD#: 146991
Chicago, IL
Past

June 6, 2002 - August 12, 2004

NEUBERGER BERMAN BD LLC

RIA
CRD#: 2908
CHICAGO, IL
Past

March 19, 2002 - August 12, 2004

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY
Past

January 7, 2002 - March 13, 2002

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

January 7, 2002 - March 13, 2002

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

August 18, 2000 - October 8, 2001

DEAM INVESTOR SERVICES, INC.

BD
CRD#: 754
NEW YORK, NY

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: 6/5/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/31/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 12/17/2024
Securities Trader Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/9/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/22/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 11/13/2018
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 2/20/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 8/17/2000
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 3/14/2025
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/8/2022
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 7/26/2021
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/25/2021
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 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
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
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, 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
New York Stock Exchange

Current Firm

OM
OLD MISSION CAPITAL, LLC
OLD MISSION CAPITAL, LLC

CRD#: 146991 / SEC#: , 8-67867

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

Main Address
1 N. Dearborn St. 8th Floor, Chicago, IL 60602
Mailing Address
1 N. Dearborn St. 8th Floor, Chicago, IL 60602
Phone number
(312) 235-5371
Established
Illinois since 03/19/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
OLD MISSION GROUP LLCMEMBER
GUZOWSKI, JOSEF MICHAELMANAGER2989719
KEITH, ALLEN THOMASFINOP4457493
LOOBY, KEVIN PETERCHIEF COMPLIANCE OFFICER4229297
MARQUEZ AVITIA, ERICA NMNCHIEF OPERATING OFFICER5074353
NICHOLS, PATRICK JAMESMANAGER4757503
RUSSINA, BRYAN SCOTTMANAGER5031844

Disclosures

Regulatory Event8

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

OLD MISSION CAPITAL, LLC

CRD#: 146991Chicago, IL 60602

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