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Alyssa T. Cook

KROLL SECURITIES LLC
CHICAGO, IL 60606
Some features on this profile are disabled
CRD#: 7279920
AC

Professional summary

Alyssa T Cook, who also goes by Alyssa Taylor Cook, Alyssa Cook, is a registered financial professional currently at KROLL SECURITIES LLC located in Chicago, Illinois.

Alyssa is registered as a RR (Registered Representative) and started their career in finance in 2020. Alyssa has worked at 2 firms and has passed the Series 79TO, Series 7TO, Series 57TO, SIE, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Alyssa Taylor Cook | Alyssa Cook

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 Alyssa T Cook'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

February 2, 2022 - Present

KROLL SECURITIES LLC

Office #1: 1 S. Wacker Drive Suite 700, Chicago, IL 60606
BD
CRD#: 36927
CHICAGO, IL
Past

September 11, 2020 - January 7, 2022

GROUP ONE TRADING LLC

BD
CRD#: 37484
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 79TO
Date: 9/2/2022
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/1/2021
General Securities Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 9/11/2020
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 8/20/2020
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 14
Date: 7/16/2021
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/2/2020
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

KS
KROLL SECURITIES LLC
DUFF & PHELPS SECURITIES CO. | PAGEMILL PARTNERS | KROLL SECURITIES LLC | KROLL INVESTMENT BANKING | KROLL CORPORATE FINANCE | GROWTH CAPITAL PARTNERS | DUFF & PHELPS SECURITIES LLC

CRD#: 36927 / SEC#: , 8-47558

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

Main Address
1 S. Wacker Drive Suite 700, Chicago, IL 60606
Mailing Address
1 S. Wacker Drive Suite 700, Chicago, IL 60606
Phone number
(312) 697-4600
Established
Delaware since 06/19/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
KROLL, LLCOWNER
ATTANASIO, ELIZABETH MARIEPRINCIPAL FINANCIAL OFFICER5325007
ATTANASIO, ELIZABETH MARIEFINOP5325007
ATTANASIO, ELIZABETH MARIEPRINCIPAL OPERATIONS OFFICER5325007
BARTELL, ROBERT ANTHONYVICE CHAIRMAN4998599
BENN, JOSHUA KOGANMANAGING DIRECTOR3166674
BLOWERS, DAVID CHARLES JR.CEO5960307
BURT, STEPHEN MPRESIDENT2679117
CAPITMAN, ANDREW WILLIAMMANAGING DIRECTOR2321386
JANCOVIC, GIZELLE MARIECHIEF COMPLIANCE OFFICER5654006
LU, DAVID HAI GEMANAGING DIRECTOR3069820
MOON, STEVEN JAE-HOMANAGING DIRECTOR4860246

Disclosures

Regulatory Event1

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Company Information

KROLL SECURITIES LLC

CRD#: 36927Chicago, IL 60606

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