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FIRM PROFILE
Overview
TRADINGBLOCK is located at 311 S. Wacker Dr., Ste 1775 Ste 650, Chicago, IL 60606 and was first established at Chicago, Illinois in 06/02/2003. After operating for 22 years, TRADINGBLOCK 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 TRADINGBLOCK’s clients are individuals and 0% of their clients are high net worth individuals. TRADINGBLOCK has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at TRADINGBLOCK are registered to handle securities or provide financial advice. The firm has 12 disclosures, 9 being regulatory events, 0 being client events, and 3 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 TRADINGBLOCK‘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 TRADINGBLOCK. 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 TRADINGBLOCK Comes From
Understanding the Statistics for TRADINGBLOCK and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
311 S. Wacker Dr., Ste 1775 Ste 650, Chicago, IL 60606
311 S. Wacker Dr., Ste 1775, Chicago, IL 60606
Small
(312) 253-0385
Illinois since 06/02/2003
Corporation
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| CAMBRIA HOLDINGS INC. | OWNER | ||
| HEFFERNAN, THOMAS ROBERT | VP | 5538731 | |
| HOEH, PHILLIP JOHN | CCO | 2231877 | |
| MARTINO, GARY ANTHONY | VP | 1458334 | |
| OGILVIE, DONAL SHANNON | COO | 2863275 | |
| VANDERHOOF, JOEL MICHAEL | PRESIDENT - INVESTMENT BANKING | 4152196 | |
| WALLACE, ROBERT DIRLAM | CFO | 4606185 | |
| WICKERT, JERE THOMAS | CEO AND PRESIDENT | 2079719 |
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Advisor's working at TRADINGBLOCK
Michael Edward Lavelle JR.
Michael Portes Warren
Stephen Quinn Dallin
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