Aubree L. Greenspun
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.
Aubree Lee Greenspun was a registered financial professional .
Aubree is a previously registered financial professional and started their career in finance in 2001. Aubree had worked at 8 firms and has passed the Series 57TO, SIE, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 21, 2013 - July 1, 2025
NASDAQ EXECUTION SERVICES, LLC
April 6, 2009 - April 8, 2014
NASDAQ CAPITAL MARKETS ADVISORY LLC
October 28, 2008 - January 23, 2009
MONADNOCK CAPITAL MANAGEMENT, LP
December 3, 2007 - October 23, 2008
MCM SECURITIES, L.P.
April 17, 2007 - December 3, 2007
MONADNOCK CAPITAL MANAGEMENT, LP
April 10, 2006 - May 4, 2006
SUSQUEHANNA SECURITIES, LLC
April 10, 2006 - May 4, 2006
SUSQUEHANNA INVESTMENT GROUP
February 19, 2002 - April 10, 2006
SAL EQUITY TRADING, GP
April 18, 2001 - July 22, 2005
SUSQUEHANNA FINANCIAL GROUP, LLLP
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 55
Date: 2/28/2002
Limited Representative-Equity Trader ExamCurrent Firm
NASDAQ EXECUTION SERVICES, LLC
CRD#: 7270 / SEC#: , 8-37329
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE NASDAQ STOCK MARKET, LLC | SOLE MEMBER | |
| CRANE, LINDA | PRINCIPAL FINANCIAL OFFICER / PRINCIPAL OPERATIONS OFFICER | 4374198 |
| HINTON-MILLER, BRENDA | CHIEF COMPLIANCE OFFICER | 3208241 |
| LAWN, DAVID EDWARD | CHIEF EXECUTIVE OFFICER | 3155025 |
| MARIGLIANO, DONALD EDWARD JR | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | 1843181 |
Disclosures
| Regulatory Event | 10 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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