Charles J. Herrick

ARCHIPELAGO SECURITIES L.L.C.

New York, NY 10005

Some features on this profile are disabled

CRD#: 4452141

Professional summary

Charles Jonathan Herrick, who also goes by Jon Herrick, Jonathan Herrick, is a registered financial professional currently at ARCHIPELAGO SECURITIES L.L.C. located in New York, New York.

Charles is registered as a RR (Registered Representative) and started their career in finance in 2002. Charles has worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jon Herrick | Jonathan Herrick

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 Charles Jonathan Herrick'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

October 3, 2022 - Present

ARCHIPELAGO SECURITIES L.L.C.

Office #1: 11 Wall Street, New York, NY 10005

CRD#: 102500

New York, NY

Past

December 23, 2019 - November 12, 2020

ARCHIPELAGO SECURITIES L.L.C.

CRD#: 102500

New York, NY

Past

April 24, 2018 - July 23, 2018

HRT FINANCIAL LP

CRD#: 152144

NEW YORK, NY

Past

November 10, 2015 - July 23, 2018

HRT EXECUTION SERVICES LLC

CRD#: 128491

NEW YORK, NY

Past

July 22, 2013 - August 17, 2015

VIRTU AMERICAS LLC

CRD#: 149823

JERSEY CITY, NJ

Past

December 12, 2012 - May 6, 2013

GETCO SECURITIES, LLC

CRD#: 151233

NEW YORK, NY

Past

March 8, 2010 - April 15, 2011

GETCO SECURITIES, LLC

CRD#: 151233

NEW YORK, NY

Past

February 4, 2008 - June 11, 2014

GETCO EXECUTION SERVICES LLC

CRD#: 145021

NEW YORK, NY

Past

September 27, 2006 - June 17, 2008

OCTEG, LLC

CRD#: 117429

NEW YORK, NY

Past

September 22, 2005 - August 21, 2006

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

May 12, 2004 - November 22, 2004

KNIGHT CAPITAL AMERICAS, L.P.

CRD#: 38599

JERSEY CITY, NJ

Past

May 2, 2002 - March 10, 2004

BLOOMBERG TRADEBOOK LLC

CRD#: 40881

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

Series 63

Date: 5/25/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 7/23/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 3/28/2007

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 11/13/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/29/2011

General Securities Principal Examination

SRO Registrations

24X National Exchange LLC

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

Long-Term Stock Exchange, Inc.

SRO Registrations

MEMX LLC

SRO Registrations

MIAX PEARL, LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

NYSE National, Inc.

SRO Registrations

NYSE Texas, Inc.

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

ARCHIPELAGO SECURITIES L.L.C.

ARCHIPELAGO SECURITIES L.L.C. | REDIBOOK ECN LLC

CRD#: 102500 / SEC#: , 8-52140

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

353 North Clark Street Suite #3200, Chicago, IL 60654

Mailing Address

353 North Clark Street Suite #3200, Chicago, IL 60654

Phone number

(312) 836-6700

Established

Delaware since 09/23/1999

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (6 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
NYSE GROUP, INC.	HOLDING COMPANY
KNIGHT, JOHN CHARLES	CHIEF COMPLIANCE OFFICER	5187603
THOMASSON, SEAN JOSEPH	FINANCIAL AND OPERATIONS PRINCIPAL	5124423
TOBIN, BRYAN THOMAS	SUPERVISORY PRINCIPAL	5232664
TURTORO, ROBERT JOHN	EXECUTIVE PRINCIPAL	2640205

Disclosures

Regulatory Event

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.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Richard Dragotta

LPL FINANCIAL LLC

IAR

Paramus, NJ

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Charles J. Herrick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Jonathan Herrick's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARCHIPELAGO SECURITIES L.L.C.

HRT FINANCIAL LP

HRT EXECUTION SERVICES LLC

VIRTU AMERICAS LLC

GETCO SECURITIES, LLC

GETCO SECURITIES, LLC

GETCO EXECUTION SERVICES LLC

OCTEG, LLC

CANTOR FITZGERALD & CO.

KNIGHT CAPITAL AMERICAS, L.P.

BLOOMBERG TRADEBOOK LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/25/2012

Series 57TO

Date: 1/2/2023

SIE

Date: 7/23/2018

Series 55

Date: 3/28/2007

Series 7

Date: 11/13/2001

Series 24

Date: 12/29/2011

24X National Exchange LLC

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

FINRA

Investors' Exchange LLC

Long-Term Stock Exchange, Inc.

MEMX LLC

MIAX PEARL, LLC

NYSE American LLC

NYSE Arca, Inc.

NYSE National, Inc.

NYSE Texas, Inc.

Nasdaq BX, Inc.

Nasdaq ISE, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

ARCHIPELAGO SECURITIES L.L.C.

Contact information

FINRA licenses (6 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ARCHIPELAGO SECURITIES L.L.C.

TRUST BUT VERIFY

Similar Advisors