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JS

John K. Sanfilippo

AARDVARK SECURITIES LLC
Chicago, IL 60661
Some features on this profile are disabled
CRD#: 4998732
JS

Professional summary

John K Sanfilippo is a registered financial professional currently at AARDVARK SECURITIES LLC located in Chicago, Illinois.

John is registered as a RR (Registered Representative) and started their career in finance in 2017. John has worked at 2 firms and has passed the Series 63, SIE, Series 7 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 John K Sanfilippo'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

August 16, 2022 - Present

AARDVARK SECURITIES LLC

Office #1: 550 W Jackson Blvd. Ste 1300, Chicago, IL 60661
BD
CRD#: 166932
Chicago, IL
Past

December 18, 2017 - June 2, 2022

SG AMERICAS SECURITIES, LLC

BD
CRD#: 128351
CHICAGO, IL

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: 4/23/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/18/2017
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/29/2019
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AS
AARDVARK SECURITIES LLC
AARDVARK SECURITIES LLC

CRD#: 166932 / SEC#: , 8-69235

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
550 W Jackson Blvd. Ste 1300, Chicago, IL 60661
Mailing Address
550 W Jackson Blvd. Ste 1300, Chicago, IL 60661
Phone number
(312) 284-5500
Established
Illinois since 01/08/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
TRANSMARKET BASTION LLCMEMBER
ADAMS, DOUGLAS RYANCHIEF EXECUTIVE OFFICER4675945
OLSON, CHAD RYANCHIEF COMPLIANCE OFFICER6234911

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

AARDVARK SECURITIES LLC

CRD#: 166932Chicago, IL 60661

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