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KJ

Karl J. Jones

SPIDERROCK EXS
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 4572443
KJ

Professional summary

Karl Joseph Jones is a registered financial professional currently at SPIDERROCK EXS, LLC located in Chicago, Illinois.

Karl is registered as a RR (Registered Representative) and started their career in finance in 2003. Karl has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 14, Series 24, Series 4 and Series 27 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 Karl Joseph Jones'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

June 22, 2018 - Present

SPIDERROCK EXS, LLC

Office #1: 300 S. Riverside Plaza Suite 2350, Chicago, IL 60606Office #2: 300 S. Riverside Plaza Suite 2350, Chicago, IL 60606
BD
CRD#: 148743
Chicago, IL
Past

April 18, 2012 - June 15, 2018

G2 TRADING LLC

BD
CRD#: 159978
CHICAGO, IL
Past

March 10, 2003 - June 20, 2011

MATRIX EXECUTIONS, LLC

BD
CRD#: 38455
CHICAGO, IL

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
California
(7/20/2018)
RR
Colorado
(7/20/2018)
RR
Connecticut
(7/20/2018)
RR
Delaware
(7/20/2018)
RR
District of Columbia
(7/20/2018)
RR
Florida
(7/20/2018)
RR
Georgia
(2/6/2020)
RR
Illinois
(6/29/2018)
RR
Iowa
(4/29/2019)
RR
Maryland
(7/20/2018)
RR
Massachusetts
(7/20/2018)
RR
Nevada
(7/20/2018)
RR
New Jersey
(7/20/2018)
RR
New York
(7/20/2018)
RR
North Carolina
(7/20/2018)
RR
Ohio
(7/20/2018)
RR
Pennsylvania
(7/20/2018)
RR
Texas
(7/20/2018)
RR
Virginia
(7/20/2018)
RR
West Virginia
(7/20/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 1/30/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/9/2003
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/4/2012
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 10/12/2010
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 3/7/2003
Financial and Operations Principal Examination
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

SE
SPIDERROCK EXS, LLC
SPIDERROCK EXS, LLC

CRD#: 148743 / SEC#: , 8-68062

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

Main Address
300 S. Riverside Plaza Suite 2350, Chicago, IL 60606
Mailing Address
300 S. Riverside Plaza Suite 2350, Chicago, IL 60606
Phone number
(312) 256-9605
Established
Illinois since 07/30/2008
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (23 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
SPIDERROCK TECHNOLOGY SOLUTIONS, LLCHOLDING COMPANY
JONES, KARL JOSEPHCHIEF COMPLIANCE OFFICER, AML OFFICER, POO4572443
MORTON, CHARMAINE DONNACFO, FINOP, PFO5874879
PAPA, GEORGE ORSONCEO2595217
RASCHKE, ERIK EDWARDROP4485577

Disclosures

Regulatory Event3

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

SPIDERROCK EXS, LLC

CRD#: 148743Chicago, IL 60606

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