AL
Adam Lister
BLOOMBERG TRADEBOOK LLC
Boston , MA 02110
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CRD#: 5955161
AL
Professional summary
Adam Lister is a registered financial professional currently at BLOOMBERG TRADEBOOK LLC located in Boston , Massachusetts.
Adam is registered as a RR (Registered Representative) and started their career in finance in 2012. Adam has worked at 2 firms and has passed the Series 63, Series 7TO and Series 7 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Adam Lister'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®
NoneExperience
Current
October 2, 2020 - Present
BLOOMBERG TRADEBOOK LLC
Office #1: 100 Summer Street Suite 2810, Boston , MA 02110BD
CRD#: 40881
Boston , MA
Past
September 17, 2012 - September 16, 2015
NATWEST MARKETS SECURITIES INC.
BD
CRD#: 11707
STAMFORD, CT
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(2/5/2021)
RR
Alaska(2/5/2021)
RR
Arizona(2/5/2021)
RR
Arkansas(2/5/2021)
RR
California(2/5/2021)
RR
Colorado(2/5/2021)
RR
Connecticut(2/5/2021)
RR
Delaware(2/5/2021)
RR
District of Columbia(2/5/2021)
RR
Florida(2/5/2021)
RR
Georgia(2/5/2021)
RR
Hawaii(2/5/2021)
RR
Idaho(2/5/2021)
RR
Illinois(2/5/2021)
RR
Indiana(2/5/2021)
RR
Iowa(2/5/2021)
RR
Kansas(2/5/2021)
RR
Kentucky(2/5/2021)
RR
Louisiana(2/5/2021)
RR
Maine(2/5/2021)
RR
Maryland(2/5/2021)
RR
Massachusetts(2/5/2021)
RR
Michigan(2/5/2021)
RR
Minnesota(2/5/2021)
RR
Mississippi(2/5/2021)
RR
Missouri(2/5/2021)
RR
Montana(2/5/2021)
RR
Nebraska(2/5/2021)
RR
Nevada(2/5/2021)
RR
New Hampshire(2/5/2021)
RR
New Jersey(2/5/2021)
RR
New Mexico(2/5/2021)
RR
New York(11/18/2020)
RR
North Carolina(2/5/2021)
RR
North Dakota(2/5/2021)
RR
Ohio(2/5/2021)
RR
Oklahoma(2/5/2021)
RR
Oregon(2/5/2021)
RR
Pennsylvania(2/5/2021)
RR
Puerto Rico(2/5/2021)
RR
Rhode Island(2/5/2021)
RR
South Carolina(2/5/2021)
RR
South Dakota(2/5/2021)
RR
Tennessee(2/5/2021)
RR
Texas(2/5/2021)
RR
Utah(2/5/2021)
RR
Vermont(2/5/2021)
RR
Virginia(2/5/2021)
RR
Washington(2/5/2021)
RR
West Virginia(2/5/2021)
RR
Wisconsin(2/5/2021)
RR
Wyoming(2/5/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 10/1/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
BT
BLOOMBERG TRADEBOOK LLC
BLOOMBERG TRADEBOOK | BLOOMBERG TRADEBROOK LLC | BLOOMBERG TRADEBOOK LLC
CRD#: 40881 / SEC#: , 8-49219
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
731 Lexington Ave, New York, NY 10022
Mailing Address
731 Lexington Ave, New York, NY 10022
Phone number
(212) 617-4865
Established
Delaware since 03/28/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Disclosures
| Regulatory Event | 9 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
BLOOMBERG TRADEBOOK LLC
CRD#: 40881Boston , MA 02110TRUST BUT VERIFY
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