Nikolai Miczek

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CRD#: 7455155

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Nikolai Miczek was a registered financial professional .

Nikolai is a previously registered financial professional and started their career in finance in 2021. Nikolai had worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 18, 2021 - May 20, 2022

SIMPLEX TRADING, LLC

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

Current Firm

SIMPLEX TRADING, LLC

MULTIPLEX TRADING LLC | SIMPLEX TRADING, LLC | SET TRADING PARTNERS, LLC

CRD#: 153585 / SEC#: , 8-68556

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

Name	Position	CRD#
SIMPLEX HOLDCO, LLC	MANAGING MEMBER, OWNER
HAUFE, DAVID HARMON	CHIEF TECHNOLOGY OFFICER	5939783
KERLIN, DENNIS JOHN	CHIEF COMPLIANCE OFFICER	4757638
ROCKEY, JOAN KATHRYN	CHIEF FINANCIAL OFFICER, FINOP	4562343
SWANSON, ERIK THEODORE	CHIEF EXECUTIVE OFFICER	5941677

Disclosures

Regulatory Event

Red Flags

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