Yitzchok S. Fuchs
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.
Yitzchok S. Fuchs was a registered financial professional .
Yitzchok is a previously registered financial professional and started their career in finance in 2000. Yitzchok had worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 4, 2002 - June 25, 2004
FIRST OPTIONS OF CHICAGO, INC.
September 1, 2000 - March 30, 2015
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
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
Current Firm
FIRST OPTIONS OF CHICAGO, INC.
CRD#: 13822 / SEC#: , 8-23787
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SLK ACQUISITION COMPANY | HOLDING COMPANY | |
| BRENNAN, WILLIAM ROBERT | CFO/TREASURER | 2447538 |
| DESENA, NEIL VITO | DIRECTOR | 1508780 |
| DUGGAN, BRIAN FLYNN | DIRECTOR/PRESIDENT/COO/CEO/CHAIRMAN | 1643188 |
| LAWLER, PETER TRAUGOTT | DIRECTOR/PRESIDENT/CEO/CHAIRMAN | 1131068 |
| LIEBERMAN, MITCHELL JAY | DIRECTOR | 2544010 |
| LOWDON, EILEEN BARBARA | CIO | |
| MAROVICH, NICHOLAS LEE | DIRECTOR | 1255498 |
| NIEDERAUER, DUNCAN LEIGH | DIRECTOR | 1755301 |
| SCHELL, RICHARD EDWARD | CHIEF COMPLIANCE OFFICER | 1543415 |
Disclosures
| Regulatory Event | 46 |
| Arbitration | 2 |
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.
