Thomas A. Pologruto
Professional summary
Thomas Anthony Pologruto, who also goes by Thomas A Pologruto, is a registered financial professional currently at PEAK6 CAPITAL MANAGEMENT LLC located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2005. Thomas has worked at 4 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 48, Series 3, Series 44, Series 55, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Anthony Pologruto's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 30, 2026 - Present
PEAK6 CAPITAL MANAGEMENT LLC
Office #1: 888 7th Avenue, New York, NY 10106March 29, 2011 - May 21, 2013
RBC CAPITAL MARKETS, LLC
March 31, 2008 - May 29, 2009
CREDIT SUISSE SECURITIES (USA) LLC
April 25, 2005 - March 27, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 57TO
Date: 3/30/2026
Securities Trader ExamSeries 48
Date: 8/23/2011
AMEX Market Maker ExamSeries 44
Date: 1/7/2008
PCX Market Maker ExamSeries 55
Date: 8/9/2006
Limited Representative-Equity Trader ExamBOX Exchange LLC
Cboe BZX Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Miami International Securities Exchange, LLC
NYSE Arca, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Current Firm
PEAK6 CAPITAL MANAGEMENT LLC
CRD#: 43773 / SEC#: , 8-50422
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEAK6 CAPITAL MANAGEMENT HOLDINGS LLC | OWNER | |
| MILCAREK, STEVEN DOUGLAS | PRINCIPAL OPERATIONS OFFICER | 3131320 |
| MULLER, BRIAN JAMES | CHIEF RISK OFFICER | 5875890 |
| PITALE, SUJAI VEERDHAVAL | CHIEF COMPLIANCE OFFICER | 5387442 |
| SIMPSON, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER | 5875785 |
| WARD, JAMES FLANAGAN | FINOP, PRINCIPAL FINANCIAL OFFICER | 6258923 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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