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AL

Adam J. Loeffler

CBOE FIXEDOME MARKETS
NEW YORK, NY 10004
Some features on this profile are disabled
CRD#: 7512763
AL

Professional summary

Adam Joseph Loeffler is a registered financial professional currently at CBOE FIXED INCOME MARKETS, LLC located in New York, New York.

Adam is registered as a RR (Registered Representative) and started their career in finance in 2023. Adam has worked at 1 firm and has passed the Series 7TO and SIE exams.

top-8-questions

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Adam Joseph Loeffler'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

June 20, 2023 - Present

CBOE FIXED INCOME MARKETS, LLC

Office #1: 17 State Street 31st Floor, New York, NY 10004Office #2: 17 State Street 31st Floor, New York, NY 10004
BD
CRD#: 315771
NEW YORK, NY

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 7TO
Date: 6/20/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/10/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

CF
CBOE FIXED INCOME MARKETS, LLC
CBOE FIXED INCOME MARKETS, LLC

CRD#: 315771 / SEC#: , 8-70752

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

Main Address
17 State Street 31st Floor, New York, NY 10004
Mailing Address
17 State Street 31st Floor, New York, NY 10004
Phone number
(212) 378-8520
Established
Delaware since 05/25/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CBOE SERVICES COMPANYSHAREHOLDER
GUTIERREZ, MICHAEL WALTERCHIEF COMPLIANCE OFFICER6213127
HARRIS, CASIE MARIECONTROLLER/FINOP7988940
SEXTON, JOHN PATRICKSECRETARY
WEINBERG, JONATHAN N/APRESIDENT7418729
WILKINSON, ALLEN LLOYDVICE PRESIDENT7432624
YIU, VIVIAN YU WAIVICE PRESIDENT5179555

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.

Company Information

CBOE FIXED INCOME MARKETS, LLC

CRD#: 315771New York, NY 10004

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