UG
Umang Garg
GROUP ONE TRADING LLC
Chicago, IL 60605
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CRD#: 7408153
UG
Professional summary
Umang Garg is a registered financial professional currently at GROUP ONE TRADING LLC located in Chicago, Illinois.
Umang is registered as a RR (Registered Representative) and started their career in finance in 2022. Umang has worked at 1 firm and has passed the Series 57TO and SIE 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 Umang Garg'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
December 19, 2022 - Present
GROUP ONE TRADING LLC
Office #1: 425 S Financial Place Suite 3400, Chicago, IL 60605Office #2: 425 S Financial Place Suite 3400, Chicago, IL 60605BD
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 57TO
Date: 12/19/2022
Securities Trader ExamGeneral 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
GO
GROUP ONE TRADING LLC
GROUP ONE TRADING LLC | GROUP ONE TRADING, L.P.
CRD#: 37484 / SEC#: , 8-47762
BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
425 S Financial Place Suite 3400, Chicago, IL 60605
Mailing Address
425 S Financial Place Suite 3400, Chicago, IL 60605
Phone number
(312) 347-8864
Established
Delaware since 10/01/2024
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 33 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
