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EF

Edgar L. Figueroa

Some features on this profile are disabled
CRD#: 4606376
EF

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.

Edgar Luis Figueroa was a registered financial professional .

Edgar is a previously registered financial professional and started their career in finance in 2002. Edgar had worked at 6 firms and has passed the Series 63, Series 55, Series 7 and Series 6 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

January 23, 2012 - August 20, 2013

CHOPPER SECURITIES, LLC

BD
CRD#: 154491
CHICAGO, IL
Past

February 28, 2006 - June 13, 2006

SHAMROCK TRADING GROUP LLC

BD
CRD#: 136513
CHICAGO, IL
Past

February 23, 2006 - February 16, 2010

ALLSTON TRADING LLC

BD
CRD#: 125499
CHICAGO, IL
Past

July 6, 2005 - December 7, 2005

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

September 12, 2003 - July 6, 2005

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL
Past

November 26, 2002 - September 5, 2003

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305
EDISON, NJ

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: 12/18/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 55
Date: 4/4/2007
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 2/22/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/25/2002
Investment Company Products/Variable Contracts Representative Examination

Current Firm

CS
CHOPPER SECURITIES, LLC
CHOPPER SECURITIES, LLC

CRD#: 154491 / SEC#: , 8-68641

BD
Terminated by SEC on 03/21/2015
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 04/22/2010
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CHOPPER TRADING LLCMEMBER
GARCHIK, ADAM TODDCHIEF EXECUTIVE OFFICER, CHIEF OPERATING OFFICER & SECRETARY2967638
SCARPINITI, FRANK ANTHONYCHIEF FINANCIAL OFFICER, FIN-OP, ASSISTANT SECRETARY4913121
SPIROFF, PATRICK GEORGECHIEF COMPLIANCE OFFICER & AML COMPLIANCE OFFICER2003622

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

CHOPPER SECURITIES, LLC

CRD#: 154491

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