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GF

Gavin K. Farley

AKUNA SECURITIES LLC
Chicago, IL 60604
Some features on this profile are disabled
CRD#: 5123465
GF

Professional summary

Gavin Keith Farley is a registered financial professional currently at AKUNA SECURITIES LLC located in Chicago, Illinois.

Gavin is registered as a RR (Registered Representative) and started their career in finance in 2011. Gavin has worked at 2 firms and has passed the Series 57TO, SIE and Series 3 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 Gavin Keith Farley'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 18, 2020 - Present

AKUNA SECURITIES LLC

Office #1: 333 S. Wabash Ave. Suite 2600, Chicago, IL 60604
BD
CRD#: 159041
Chicago, IL
Past

March 17, 2011 - July 28, 2014

CMZ TRADING, LLC

BD
CRD#: 132051
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

General Industry/Product Exam
RR
Series 57TO
Date: 8/18/2020
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 7/7/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 9/3/2015
National Commodity Futures Examination
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA

Current Firm

AS
AKUNA SECURITIES LLC
AKUNA SECURITIES LLC

CRD#: 159041 / SEC#: , 8-68957

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

Main Address
333 S. Wabash Ave. Suite 2600, Chicago, IL 60604
Mailing Address
333 S. Wabash Ave. Suite 2600, Chicago, IL 60604
Phone number
(312) 994-4640
Established
Delaware since 08/12/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
AKUNA TRADING LLCMANAGER
ALEXIEVA, NELI MIHAYLOVACFO6854926
DUCKWORTH, RYAN JAMESCEO5970652
HYER, THOMAS MICHAELCHIEF RISK OFFICER5916927
JAVIER TORRES, CHRISTINA MARIECCO, AML-CO6618037
RIP, OLGAFINOP5440553

Disclosures

Regulatory Event7

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

AKUNA SECURITIES LLC

CRD#: 159041Chicago, IL 60604

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