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NK

Noah M. Keen

CTC
Chicago, IL 60605
Some features on this profile are disabled
CRD#: 6244142
NK

Professional summary

Noah Michael Keen is a registered financial professional currently at CTC, LLC located in Chicago, Illinois.

Noah is registered as a RR (Registered Representative) and started their career in finance in 2013. Noah has worked at 2 firms and has passed the Series 57TO, SIE 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Noah Michael Keen'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

May 5, 2026 - Present

CTC, LLC

Office #1: 425 S. Financial Place 4th Floor, Chicago, IL 60605
BD
CRD#: 44597
Chicago, IL
Past

June 10, 2015 - April 12, 2018

DRW SECURITIES, L.L.C.

BD
CRD#: 45908
CHICAGO, IL
Past

September 5, 2013 - January 23, 2014

DRW SECURITIES, L.L.C.

BD
CRD#: 45908
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: 5/5/2026
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 2/10/2026
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/4/2013
General Securities Representative Examination
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC

Current Firm

CL
CTC, LLC
CTC L.L.C. | CTC, LLC

CRD#: 44597 / SEC#: , 8-50758

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

Main Address
425 S. Financial Place 4th Floor, Chicago, IL 60605
Mailing Address
425 S. Financial Place 4th Floor, Chicago, IL 60605
Phone number
(312) 863-8000
Established
Illinois since 01/02/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CTC TRADING GROUP, L.L.C.SOLE MEMBER
ESTELL, BRETT MATTHEWPRESIDENT4568030
KIM, ALBERT JINWOOCHIEF COMPLIANCE OFFICER6183300
POPE, LISA YVETTEFINOP, PFO, POO2200264

Disclosures

Regulatory Event18

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

CTC, LLC

CRD#: 44597Chicago, IL 60605

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