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AC

Andrew E. Chai

MARKETAXESS
New York, NY 10001
Some features on this profile are disabled
CRD#: 4448855
AC

Professional summary

Andrew Ekmaha Chai is a registered financial professional currently at MARKETAXESS CORPORATION located in New York, New York.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2001. Andrew has worked at 10 firms and has passed the Series 63, Series 66, Series 52TO, Series 7TO, SIE 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) - BD

Click below to view Andrew Ekmaha Chai'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

April 15, 2025 - Present

MARKETAXESS CORPORATION

Office #1: 55 Hudson Yards 15th Floor, New York, NY 10001
BD
CRD#: 44542
New York, NY
Past

February 7, 2023 - April 13, 2025

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
New York, NY
Past

September 24, 2013 - October 7, 2015

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

October 9, 2012 - September 10, 2013

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT
Past

March 2, 2011 - November 16, 2011

NATWEST MARKETS SECURITIES INC.

BD
CRD#: 11707
STAMFORD, CT
Past

December 1, 2009 - September 2, 2010

HAPOALIM SECURITIES USA, INC.

BD
CRD#: 266
NEW YORK, NY
Past

March 1, 2005 - August 25, 2008

SWISS RE CAPITAL MARKETS CORPORATION

BD
CRD#: 39978
NEW YORK, NY
Past

August 19, 2004 - November 19, 2004

FHN FINANCIAL SECURITIES CORP.

BD
CRD#: 46346
MEMPHIS, TN
Past

August 19, 2002 - August 20, 2004

MERRILL LYNCH INVESTMENT MANAGERS LP

RIA
CRD#: 105068
PLAINSBORO, NJ
Past

August 19, 2002 - August 9, 2004

FAM DISTRIBUTORS, INC.

BD
CRD#: 4100
NEW YORK, NY
Past

January 17, 2002 - May 28, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEWPORT BEACH, CA
Past

October 30, 2001 - May 28, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(4/15/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 2/17/2023
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 11/20/2001
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 11/22/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/7/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/30/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/29/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

MC
MARKETAXESS CORPORATION
MARKETAXESS CORPORATION | TRADING EDGE, INC. | RFQ-HUB

CRD#: 44542 / SEC#: , 8-50727

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

Main Address
55 Hudson Yards 15th Floor, New York, NY 10001
Mailing Address
55 Hudson Yards 15th Floor, New York, NY 10001
Phone number
(212) 813-6000
Established
Delaware since 09/12/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (50 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
MARKETAXESS HOLDINGS INC.SHAREHOLDER
CIANCIULLI, MICHAEL ROBERTPRINCIPAL FINANCIAL OFFICER6980135
CONCANNON, CHRISTOPHER RCHIEF EXECUTIVE OFFICER2169224
PINTOFF, SCOTT ERICGENERAL COUNSEL & CHIEF LEGAL OFFICER6281715
STEINFELD, RON EDWARDCHIEF COMPLIANCE OFFICER5747522

Disclosures

Regulatory Event1

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

MARKETAXESS CORPORATION

CRD#: 44542New York, NY 10001

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