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Addison Miles Sollog

CRD# 4709867·Registered 2003 - 2020
Previously Registered: Being a previously registered professional could mean that Addison 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

Addison Miles Sollog was a registered financial advisor. Addison was a previously registered financial professional and started their career in finance 2003 - 2020. Addison had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 24 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.

Blog Corner

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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

RONIN CAPITAL, LLC·CRD# 118428
BD
Chicago, IL
July 5, 2011 - July 1, 2020
VTRADER PRO, LLC·CRD# 131920
BD
San Francisco, CA
April 14, 2011 - June 20, 2011
RBC CAPITAL MARKETS, LLC·CRD# 31194
BD
New York, NY
February 29, 2008 - April 29, 2010
RBC CAPITAL MARKETS CORPORATION·CRD# 6579
BD
New York, NY
July 16, 2004 - February 29, 2008
MAKO GLOBAL DERIVATIVES LLC·CRD# 103799
BD
New York, NY
October 7, 2003 - January 9, 2004
MAKO GLOBAL DERIVATIVES LLC·CRD# 103799
BD
New York, NY
September 26, 2003 - June 18, 2004

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Current Firm

RC
RONIN CAPITAL, LLC

RONIN CAPITAL, LLC | RONIN, LLC

CRD#: 118428 / SEC#: 8-53655
BD
Terminated by SEC on 09/29/2020

Contact Information

Established

Delaware since 10/22/2001

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
ZEN HOLDINGS, LLCMEMBER—
FAIRWAY TRADING, LLCMEMBER—
STAFFORD, JOHN SPRINGS IIICHIEF EXECUTIVE OFFICER2366359
ANSATZ HOLDINGS LLCMEMBER—
BURDA, AGNIESZKACHIEF COMPLIANCE OFFICER4832368
CHERVITZ, KERI SCOMPLIANCE MANAGER2875647
DAI, ERICCHIEF OPERATING OFFICER5880944
GALIN, JONATHAN BRETTCHIEF RISK OFFICER1597276
HUERTA, KELLY JOFINANCIAL AND OPERATION PRINCIPAL4889908
POOLER, ROBERT EDWARD JRCHIEF FINANCIAL OFFICER2817263
WOLO CAPITAL, LLCMEMBER—

Disclosures

Regulatory Event

26

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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 Aug 2004About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Dec 2002About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jul 2015About the Series 24 exam

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CRS (Client Relationship Summary)

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

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