AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
DK

Dennis J. Kerlin

SIMPLEX TRADING
Chicago, IL 60604
Some features on this profile are disabled
CRD#: 4757638
DK

Professional summary

Dennis John Kerlin is a registered financial professional currently at SIMPLEX TRADING, LLC located in Chicago, Illinois.

Dennis is registered as a RR (Registered Representative) and started their career in finance in 2004. Dennis has worked at 6 firms and has passed the Series 99TO, Series 57TO, SIE, Series 7, Series 14, Series 4, Series 27 and Series 24 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 Dennis John Kerlin'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 8, 2025 - Present

SIMPLEX TRADING, LLC

Office #1: 230 S. Lasalle Street Suite 08-500, Chicago, IL 60604
BD
CRD#: 153585
Chicago, IL
Past

March 1, 2023 - January 16, 2025

OPTIVER EXECUTION SERVICES LLC

BD
CRD#: 316308
CHICAGO, IL
Past

August 15, 2017 - January 16, 2025

OPTIVER US LLC

BD
CRD#: 128030
CHICAGO, IL
Past

May 16, 2011 - July 31, 2017

SPOT TRADING L.L.C.

BD
CRD#: 47666
CHICAGO, IL
Past

November 4, 2004 - April 28, 2011

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY
Past

February 19, 2004 - March 26, 2007

SLK-HULL DERIVATIVES LLC

BD
CRD#: 46735
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

General Industry/Product Exam
RR
Series 99TO
Date: 8/14/2024
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/18/2004
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/25/2022
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 9/30/2005
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/22/2004
General Securities Principal Examination
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

ST
SIMPLEX TRADING, LLC
MULTIPLEX TRADING LLC | SIMPLEX TRADING, LLC | SET TRADING PARTNERS, LLC

CRD#: 153585 / SEC#: , 8-68556

BD
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
230 S. Lasalle Street Suite 08-500, Chicago, IL 60604
Mailing Address
230 S. Lasalle Street Suite 08-500, Chicago, IL 60604
Phone number
(312) 360-2440
Established
Delaware since 02/22/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SIMPLEX HOLDCO, LLCMANAGING MEMBER, OWNER
HAUFE, DAVID HARMONCHIEF TECHNOLOGY OFFICER5939783
KERLIN, DENNIS JOHNCHIEF COMPLIANCE OFFICER4757638
ROCKEY, JOAN KATHRYNCHIEF FINANCIAL OFFICER, FINOP4562343
SWANSON, ERIK THEODORECHIEF EXECUTIVE OFFICER5941677

Disclosures

Regulatory Event4

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

SIMPLEX TRADING, LLC

CRD#: 153585Chicago, IL 60604

TRUST BUT VERIFY

Monitor Dennis Kerlin

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Michael Walter Basile
Michael BasileAdvisorCheck Check Mark
COUNTRY CAPITAL MANAGEMENT COMPANY
RR
Chicago, IL
LP
Louis PasterAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Chicago, IL
JV
Jaime VillalobosAdvisorCheck Check Mark
WILLIAM BLAIR
IAR
RR
Chicago, IL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics