JH
John K. Harris
SIMPLEX TRADING
Chicago, IL 60604
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CRD#: 6950675
JH
Professional summary
John Keith Harris is a registered financial professional currently at SIMPLEX TRADING, LLC located in Chicago, Illinois.
John is registered as a RR (Registered Representative) and started their career in finance in 2018. John has worked at 1 firm and has passed the SIE and Series 57 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 John Keith Harris'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
August 30, 2018 - Present
SIMPLEX TRADING, LLC
Office #1: 230 S. Lasalle Street Suite 08-500, Chicago, IL 60604BD
CRD#: 153585
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
General Industry/Product Exam
SRO Registrations
RR
BOX Exchange LLC
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
MEMX 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
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
Current Firm
ST
SIMPLEX TRADING, LLC
MULTIPLEX TRADING LLC | SIMPLEX TRADING, LLC | SET TRADING PARTNERS, LLC
CRD#: 153585 / SEC#: , 8-68556
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
230 S. Lasalle Street Suite 08-500, Chicago, IL 60604
Mailing Address
230 S. Lasalle Street Suite 08-500, Chicago, IL 60604
Phone number
(312) 360-2440
Established
Delaware since 02/22/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
