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FIRM PROFILE
Overview
FIS BROKERAGE & SECURITIES SERVICES LLC is located at 270 Remington Blvd. Suite A, Bolingbrook, IL 60440 and was first established at Chicago, Delaware in 02/11/2000. After operating for 26 years, FIS BROKERAGE & SECURITIES SERVICES LLC has amassed assets under management in the amount of $0 spanning over 0 clients at the firm. A breakdown of these figures indicates that 0% of FIS BROKERAGE & SECURITIES SERVICES LLC’s clients are individuals and 0% of their clients are high net worth individuals. FIS BROKERAGE & SECURITIES SERVICES LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at FIS BROKERAGE & SECURITIES SERVICES LLC are registered to handle securities or provide financial advice. The firm has 23 disclosures, 23 being regulatory events, 0 being client events, and 0 events that have led to arbitration. Firm disclosures can occur for a number of reasons and we encourage every investor to review and perform their due diligence, as appropriate, before moving forward. You will be able to access FIS BROKERAGE & SECURITIES SERVICES LLC‘s brochures, the Form ADV, the Customer Relationship Summary (CRS), Accountant Surprise Examination Reports, and direct owners and executive officers. You will also see a list of services offered, fees & costs, conflicts of interest, and any and all related websites to the firm. In addition to these data points, our database will allow you to find every registered employee at FIS BROKERAGE & SECURITIES SERVICES LLC. Using your dashboard, you can access advisor disclosures (if any), run background checks, save, compare, and monitor your advisor for the life of your relationship. If you are still deciding which financial advisor would be best suited for your needs, our free members get access to our comparison tool which allows anyone to see relevant data points for each financial advisor and their firms in a side-by-side comparison.
Where the Statistical Data for FIS BROKERAGE & SECURITIES SERVICES LLC Comes From
Understanding the Statistics for FIS BROKERAGE & SECURITIES SERVICES LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
270 Remington Blvd. Suite A, Bolingbrook, IL 60440
270 Remington Blvd. Suite A, Bolingbrook, IL 60440
Small
(630) 482-7300
Delaware since 02/11/2000
Limited Liability Company
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | ||
| BRADLEY, DUANGPHAT | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 6103741 | |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 | |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 | |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
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Advisor's working at FIS BROKERAGE & SECURITIES SERVICES LLC
James Anthony Nugent
Jenel Carima Damis
Paul Cashman
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