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Brent T Kochuba

CRD# 4627630·Registered 2003 - 2015
Previously Registered: Being a previously registered professional could mean that Brent 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.

Professional Summary

Brent T Kochuba was a registered financial advisor. Brent was a previously registered financial professional and started their career in finance 2003 - 2015. Brent had worked at 3 firms and has passed the Series 63, SIE, Series 3, Series 55 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

23 years in the financial services industry

Current & Past Employments

WOLVERINE EXECUTION SERVICES, LLC·CRD# 120719
BD
Chicago, IL
April 8, 2009 - July 20, 2015
CREDIT SUISSE SECURITIES (USA) LLC·CRD# 816
BD
New York, NY
April 16, 2007 - March 30, 2009
BANC OF AMERICA SECURITIES LLC·CRD# 26091
BD
New York, NY
April 7, 2003 - April 5, 2007

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Current Firm

WE
WOLVERINE EXECUTION SERVICES, LLC

WOLVERINE EXECUTION SERVICES, LLC

CRD#: 120719 / SEC#: 8-65336
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)

Contact Information

Main Address

175 W. Jackson Blvd., Suite 200, Chicago, IL 60604

Mailing Address

175 W. Jackson Blvd., Suite 200, Chicago, IL 60604

Phone Number

(312) 884-4000

Established

Illinois since 07/19/2001

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (2 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

NamePositionCRD#
WOLVERINE TRADING, LLCLIMITED LIABILITY CORPORATION36848
CAVICKE, DAVIDCHIEF LEGAL COUNSEL6027073
DE LA FUENTE, JANET MARIEFINOP4543841
MURPHY, PATRICK TIMOTHYCHIEF OPERATING OFFICER/EXECUTIVE REPRESENTATIVE2057769
MURRAY, CRAIG JOHNCHIEF COMPLIANCE OFFICER6136205
SOWERS, BRAD ALLENROSFP2530780

Disclosures

Regulatory Event

43

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 2003About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Jul 2015About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Sep 2004About the Series 3 exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Oct 2003

Series 7 — General Securities Representative Examination

Passed Apr 2003About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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