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FIRM PROFILE
Overview
NASDAQ EXECUTION SERVICES, LLC is located at 2929 Walnut Street Fmc Tower, Level 8, Philadelphia, PA 19104 and was first established at Philadelphia, Delaware in 11/25/1997. After operating for 28 years, NASDAQ EXECUTION 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 NASDAQ EXECUTION SERVICES, LLC’s clients are individuals and 0% of their clients are high net worth individuals. NASDAQ EXECUTION 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 NASDAQ EXECUTION SERVICES, LLC are registered to handle securities or provide financial advice. The firm has 10 disclosures, 10 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 NASDAQ EXECUTION 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 NASDAQ EXECUTION 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 NASDAQ EXECUTION SERVICES, LLC Comes From
Understanding the Statistics for NASDAQ EXECUTION SERVICES, LLC and How They Compare to Other Firms Through Our Analysis
Total Client Assets:
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FIRM INFORMATION
2929 Walnut Street Fmc Tower, Level 8, Philadelphia, PA 19104
2929 Walnut Street Fmc Tower, Level 8, Philadelphia, PA 19104
Small
(215) 496-5000
Delaware since 11/25/1997
Limited Liability Company
December
FIRM DOCUMENTS
DIRECT OWNERS & EXECUTIVE OFFICERS
| Name | Title | Aquired | CRD# |
|---|---|---|---|
| THE NASDAQ STOCK MARKET, LLC | SOLE MEMBER | ||
| CRANE, LINDA | PRINCIPAL FINANCIAL OFFICER / PRINCIPAL OPERATIONS OFFICER | 4374198 | |
| HINTON-MILLER, BRENDA | CHIEF COMPLIANCE OFFICER | 3208241 | |
| LAWN, DAVID EDWARD | CHIEF EXECUTIVE OFFICER | 3155025 | |
| MARIGLIANO, DONALD EDWARD JR | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | 1843181 |
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Advisor's working at NASDAQ EXECUTION SERVICES, LLC
Edward Thomas Coughlin
Daniel Wayne Darrow
Michael Stclair Parris
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