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SU

Shireen Uttam

Some features on this profile are disabled
CRD#: 4358784
SU

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.

Shireen Uttam was a registered financial professional .

Shireen is a previously registered financial professional and started their career in finance in 2001. Shireen had worked at 3 firms and has passed the Series 63, SIE, Series 3 and Series 7 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 17, 2006 - November 1, 2017

BLOOMBERG TRADEBOOK LLC

BD
CRD#: 40881
NEW YORK, NY
Past

April 30, 2001 - May 29, 2001

ABN AMRO INCORPORATED

BD
CRD#: 15776
STAMFORD, CT
Past

April 9, 2001 - April 30, 2001

ABN AMRO SECURITIES LLC

BD
CRD#: 6540
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
RR
Series 63
Date: 2/21/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/1/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 6/23/2006
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 3/16/2006
General Securities Representative Examination

Current Firm

BT
BLOOMBERG TRADEBOOK LLC
BLOOMBERG TRADEBOOK | BLOOMBERG TRADEBROOK LLC | BLOOMBERG TRADEBOOK LLC

CRD#: 40881 / SEC#: , 8-49219

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

Main Address
731 Lexington Ave, New York, NY 10022
Mailing Address
731 Lexington Ave, New York, NY 10022
Phone number
(212) 617-4865
Established
Delaware since 03/28/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BLOOMBERG L.P.MANAGING MEMBER
KLEINBAUER, DEREK JOSEFCEO/PRESIDENT7279271
MILHAM, CHRISTOPHER MICHAELCHIEF FINANCIAL OFFICER, PFO, POO3092157
ROTELA, DOUGLAS MARTINCHIEF COMPLIANCE OFFICER5127496

Disclosures

Regulatory Event9

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

BLOOMBERG TRADEBOOK LLC

CRD#: 40881

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