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CRD#: 148743
BD

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FIRM PROFILE

Assets Under Management:No Information
Clients per Registered Employee:No Information
Total Number of Employees:No Information
Clients per Employee:No Information
Total Number of Individual Clients:No Information
Total Number of HNWI Clients:No Information
Average Individual Client Account Size:No Information
Average HNWI Account Size:No Information

Overview

SPIDERROCK EXS, LLC is located at 300 S. Riverside Plaza Suite 2350, Chicago, IL 60606 and was first established at Chicago, Illinois in 07/30/2008. After operating for 17 years, SPIDERROCK EXS, 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 SPIDERROCK EXS, LLC’s clients are individuals and 0% of their clients are high net worth individuals. SPIDERROCK EXS, LLC has 0 total employees and of those employees, 0 can be registered with one or both FINRA and the SEC. 0% percentage at SPIDERROCK EXS, LLC are registered to handle securities or provide financial advice. The firm has 3 disclosures, 3 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 SPIDERROCK EXS, 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 SPIDERROCK EXS, 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.

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Where the Statistical Data for SPIDERROCK EXS, LLC Comes From

Understanding the Statistics for SPIDERROCK EXS, LLC and How They Compare to Other Firms Through Our Analysis

Average Account Value
Individuals
No Information
HNWI
No Information
Breakdown of Assets Under Management
Total Client Assets:
No Information
Individuals
No Information
HNWI
No Information
MISC
No Information
Employees
Total
No Information
Registered
No Information
Client Ratios
No Information
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Clients
Total
No Information
Individuals
No Information
HNWI
No Information
Firm Disclosures
Regulatory Event
3

FIRM INFORMATION

Main Address
300 S. Riverside Plaza Suite 2350, Chicago, IL 60606
Mailing Address
300 S. Riverside Plaza Suite 2350, Chicago, IL 60606
Firm Size
Small
Phone Number
(312) 256-9605
Established
Illinois since 07/30/2008
Firm Type
Limited Liability Company
Fiscal year end
December
Related websites
Participation or Interest in Client Transactions
Self-custody

FIRM DOCUMENTS


DIRECT OWNERS & EXECUTIVE OFFICERS

NameTitleAquiredCRD#
SPIDERROCK TECHNOLOGY SOLUTIONS, LLCHOLDING COMPANY
JONES, KARL JOSEPHCHIEF COMPLIANCE OFFICER, AML OFFICER, POO4572443
MORTON, CHARMAINE DONNACFO, FINOP, PFO5874879
PAPA, GEORGE ORSONCEO2595217
RASCHKE, ERIK EDWARDROP4485577

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Advisor's working at SPIDERROCK EXS, LLC

TJ

Tyler Leealan Jaswal

RR
CRD#: 7601888
Location:
Chicago, IL 60606
Company:
SPIDERROCK EXS, LLC
Disclosures:
Experience:
3 years
View Profile
CK

Constantine Vosnos Konstantinidis

Dino Konstantinidis
RR
CRD#: 7800873
Location:
New York, NY 10038
Company:
SPIDERROCK EXS, LLC
Disclosures:
Experience:
2 years
View Profile
YM

Yackzel Martinez

RR
CRD#: 7809821
Location:
Chicago, IL 60606
Company:
SPIDERROCK EXS, LLC
Disclosures:
Experience:
2 years
View Profile
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