Joseph J. Nowicki
Professional summary
Joseph Judd Nowicki, who also goes by Joseph Nowicki, is a registered financial professional currently at TJM INVESTMENTS, LLC located in Chicago, Illinois.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2011. Joseph has worked at 3 firms and has passed the Series 57TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Judd Nowicki's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 25, 2022 - Present
TJM INVESTMENTS, LLC
Office #1: Cboe Trading Floor 141 West Jackson Boulevard, Chicago, IL 60604August 14, 2018 - February 28, 2022
ALL RISE TRADING LLC
July 15, 2011 - June 13, 2018
PTR, INC.
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: 1/2/2023
Securities Trader ExamCboe Exchange, Inc.
FINRA
Investors' Exchange LLC
NYSE American LLC
NYSE Arca, Inc.
Nasdaq ISE, LLC
New York Stock Exchange
Current Firm
TJM INVESTMENTS, LLC
CRD#: 46300 / SEC#: , 8-51370
Contact information
FINRA licenses (34 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TJM HOLDINGS, LLC | HOLDING COMPANY | |
| BEITLER, STEVE ALLEN | CHIEF EXECUTIVE OFFICER | 1893827 |
| BURKE, JOHN TERRENCE | CHIEF OPERATING OFFICER | 2116593 |
| DANG, STACY BINH | CHIEF COMPLIANCE OFFICER | 3143275 |
| MURPHY, THOMAS JAMES | CO-MANAGER | 857354 |
| RISINGER, COLLEEN SULLIVAN | FINOP CFO | 2812053 |
| SKWERES, DENISE PAREJKO | FINOP CFO | 5332253 |
Disclosures
| Regulatory Event | 12 |
Red Flags
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