CS
Case M. Sosnoff
TASTYTRADE
Chicago, IL 60607
Some features on this profile are disabled
CRD#: 6531582
CS
Professional summary
Case Margaret Sosnoff is a registered financial professional currently at TASTYTRADE, INC. located in Chicago, Illinois.
Case is registered as a RR (Registered Representative) and started their career in finance in 2021. Case has worked at 2 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7, Series 14, Series 4 and Series 24 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 Case Margaret Sosnoff'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
March 10, 2016 - Present
TASTYTRADE, INC.
Office #1: 1330 West Fulton Street Suite 600, Chicago, IL 60607Office #2: 1330 W. Fulton Street Suite 600, Chicago, IL 60607BD
CRD#: 277027
Chicago, IL
Past
September 27, 2021 - January 3, 2022
DOUGH LLC
BD
CRD#: 148243
CHICAGO, IL
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(1/9/2017)
RR
Alaska(1/4/2017)
RR
Arizona(1/3/2017)
RR
Arkansas(1/3/2017)
RR
California(1/3/2017)
RR
Colorado(1/3/2017)
RR
Connecticut(1/3/2017)
RR
Delaware(1/4/2017)
RR
District of Columbia(1/4/2017)
RR
Florida(1/19/2017)
RR
Georgia(1/3/2017)
RR
Hawaii(1/19/2017)
RR
Idaho(1/3/2017)
RR
Illinois(3/11/2016)
RR
Indiana(1/3/2017)
RR
Iowa(1/3/2017)
RR
Kansas(1/3/2017)
RR
Kentucky(1/3/2017)
RR
Louisiana(1/3/2017)
RR
Maine(1/6/2017)
RR
Maryland(1/10/2017)
RR
Massachusetts(1/10/2017)
RR
Michigan(1/4/2017)
RR
Minnesota(1/3/2017)
RR
Mississippi(1/3/2017)
RR
Missouri(1/6/2017)
RR
Montana(1/3/2017)
RR
Nebraska(1/13/2017)
RR
Nevada(1/3/2017)
RR
New Hampshire(1/20/2017)
RR
New Jersey(1/12/2017)
RR
New Mexico(1/12/2017)
RR
New York(1/3/2017)
RR
North Carolina(1/3/2017)
RR
North Dakota(1/27/2017)
RR
Ohio(1/3/2017)
RR
Oklahoma(1/3/2017)
RR
Oregon(1/4/2017)
RR
Pennsylvania(1/3/2017)
RR
Puerto Rico(1/4/2017)
RR
Rhode Island(1/3/2017)
RR
South Carolina(1/5/2017)
RR
South Dakota(1/3/2017)
RR
Tennessee(1/6/2017)
RR
Texas(1/6/2017)
RR
Utah(1/3/2017)
RR
Vermont(1/9/2017)
RR
Virgin Islands(1/11/2017)
RR
Virginia(1/3/2017)
RR
Washington(1/3/2017)
RR
West Virginia(1/9/2017)
RR
Wisconsin(1/9/2017)
RR
Wyoming(1/3/2017)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TI
TASTYTRADE, INC.
TASTYTRADE, INC. | TASTYWORKS, INC.
CRD#: 277027 / SEC#: , 8-69649
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
1330 West Fulton Street Suite 600, Chicago, IL 60607
Mailing Address
1330 West Fulton Street Suite 600, Chicago, IL 60607
Phone number
(312) 724-7075
Established
Delaware since 06/22/2015
Firm type
Corporation
Fiscal year end
May
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TASTYLIVE, INC. | OWNER | |
| ADLER, KERRY ANN PATRICIA | INTERIM CHIEF COMPLIANCE OFFICER | 3269947 |
| BRASIL DE OLIVEIRA, LUIS FERNANDO | CHIEF OPERATING OFFICER | 5652832 |
| CHIOU, JASON | HEAD OF CLIENT BROKERAGE SERVICES | 6757512 |
| GRACE, CHRISTOPHER WILLIAM | HEAD OF BROKERAGE TRADING OPERATIONS | 5985000 |
| MONTERRUBIO, DAMON | AML COMPLIANCE OFFICER | 5565532 |
| SLOAN, JACQUELINE LEE | FINOP | 2717305 |
Disclosures
| Regulatory Event | 1 |
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.
