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AA

Andrew J. Adams

IMC FINANCIAL MARKETS
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 5556756
AA

Professional summary

Andrew John Adams, who also goes by Andrew J Adams, Andy John Adams, is a registered financial professional currently at IMC FINANCIAL MARKETS located in Chicago, Illinois and IMC SECURITIES LLC located in Chicago, Illinois.

Andrew is registered as a RR (Registered Representative) and started their career in finance in 2009. Andrew has worked at 2 firms and has passed the SIE, Series 57, Series 56, Series 44 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Andrew J Adams | Andy John Adams

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 Andrew John Adams'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

March 21, 2017 - Present

IMC FINANCIAL MARKETS

Office #1: 233 South Wacker Drive #4300, Chicago, IL 60606
BD
CRD#: 104143
Chicago, IL
Current

May 20, 2024 - Present

IMC SECURITIES LLC

Office #1: 233 South Wacker Drive #4300, Chicago, IL 60606
BD
CRD#: 144874
Chicago, IL
Past

June 9, 2009 - March 21, 2017

IMC FINANCIAL MARKETS

BD
CRD#: 104143
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
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 57
Date: 4/19/2016
Securities Trader Exam
General Industry/Product Exam
RR
Series 56
Date: 11/19/2013
Proprietary Trader Qualification Examination
General Industry/Product Exam
RR
Series 44
Date: 5/21/2009
PCX Market Maker Exam
Principal/Supervisory Exam
RR
Series 24
Date: 7/19/2017
General Securities Principal Examination
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange 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
NYSE National, 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
SRO Registrations
RR
New York Stock Exchange

Current Firm

IS
IMC SECURITIES LLC
CARDINAL CAPITAL MANAGEMENT LLC | IMC SECURITIES LLC

CRD#: 144874 / SEC#: , 8-67680

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

Main Address
233 South Wacker Drive #4300, Chicago, IL 60606
Mailing Address
233 South Wacker Drive #4300, Chicago, IL 60606
Phone number
(312) 244-3300
Established
Illinois since 05/23/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
IMC AMERICAS INC.MEMBER
DOWNEY, JASON EDWARDCCO6080734
HOFFMAN, ADAM MICHAELCOO5579229
LIEGEON, CHRISTINE ELIZABETHCEO5679799
NOWICKI, PAULFINOP, CFO, PFO, POO6097424

Disclosures

Regulatory Event3

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

IMC SECURITIES LLC

CRD#: 144874Chicago, IL 60606

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