Simplex Trading, LLC

Broker-DealerFINRA MemberEst. 2010

Total AUM

—

Advisory reps

102

Avg account

$0

Firm details

Headquarters: Chicago, Illinois
CRD number: 153585
Registered since: August 12, 2010
Website: www.simplexinvestments.com

Firm profile

FINTRX

Overview

Simplex Trading, LLC is an SEC-registered limited liability company established in 2010 that appears to operate primarily as a trading entity rather than a traditional advisory firm. FINTRX classifies the firm as unclassified, notes it is not a capital allocator, and flags it as not an active ESG investor. The firm is not identified as a multi-state adviser, and the dataset does not include clear details on a public advisory client base or on standard advisory activities.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

CRM & tech providers

TAMPs used

Clients

Client base

Client personas

Owners & executives

3 of 4

Joan Rockey
Chief Financial OfficerCRD 4562343
Dennis Kerlin
Chief Compliance OfficerCRD 4757638
David Haufe
Chief Technology OfficerCRD 5939783

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Contacts

3 of 98

Ronald Kucera
TraderCRD 1255031
Paul Mishkin
Managing MemberCRD 2299560
Thomas Bruno
TraderCRD 2338122

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Wealth teams

Newly hired reps

Recent M&A activity

Recent filings

Awards

ETF holdings

1 of 788

Active vs passive

$979M in ETFs

Passive

90%

$877M

Active

1%

$102M

ETF	Provider	Style	Category	Value	Shares	% of portfolio
ISHARES RUSSELL 2000 ETF (IWM)	BlackRock	Passive	Small Blend	$161M	536,810	16.48%

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Primary office

Chicago, IL

Cook

Location

Chicago, IL

Headquartered in Chicago, IL, anchoring the Chicago-Naperville, IL-IN-WI metro in the Midwest.

Metro area: Chicago-Naperville, IL-IN-WI
Region: Midwest
County: Cook
Address: 230 S La Salle St
Time zone: CT (UTC-6)
Office locations

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