BROKERSXPRESS LLC
CRD #127081 SEC #801-66123 CHICAGO, IL 312-630-3300
SEC Registered Broker-Dealer Disclosures
Total AUM
$829.1M
Discretionary
$687M
Employees
51
Clients
26
Accounts
6,237
This firm has regulatory disclosures on file.
View disclosures
Firm Details
- Organization Type
- Limited Liability Company
- State of Formation
- Illinois
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 8, 2012
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| BENNETT, NED WESLEY | I | CHAIRMAN | NA | Control |
| BENNETT, NED WESLEY | I | CHAIRMAN | NA | Control |
| BENNETT, NED WESLEY | I | CEO, SROP, | NA | Control |
| BENNETT, NED WESLEY | I | CHAIRMAN, MSRB PRINCIPAL | NA | Control |
| BENNETT, NED WESLEY | I | CHAIRMAN | NA | Control |
| BENNETT, NED WESLEY | I | CHAIRMAN | NA | Control |
| BENNETT, NED WESLEY | I | CEO, SROP, | NA | Control |
| BENNETT, NED WESLEY | I | CHAIRMAN | NA | Control |
| BENNETT, NED WESLEY | I | CHAIRMAN | NA | Control |
| BENNETT, NED WESLEY | I | CHAIRMAN | NA | Control |
| BENNETT, NED WESLEY | I | CHAIRMAN | NA | Control |
| BENNETT, NED WESLEY | I | CHAIRMAN | NA | Control |
| BENNETT, NED WESLEY | I | CHAIRMAN | NA | Control |
| BENNETT, NED WESLEY | I | CHAIRMAN | NA | Control |
| BENNETT, NED WESLEY | I | CHAIRMAN | NA | Control |
| BENNETT, NED WESLEY | I | CHAIRMAN, MSRB PRINCIPAL | NA | Control |
| BENNETT, NED WESLEY | I | CHAIRMAN | NA | Control |
| BENNETT, NED WESLEY | I | CHAIRMAN, MSRB PRINCIPAL | NA | Control |
| BENNETT, NED WESLEY | I | CHAIRMAN, MSRB PRINCIPAL | NA | Control |
| BENNETT, NED WESLEY | I | CHAIRMAN, MSRB PRINCIPAL | NA | Control |
| BENNETT, NED WESLEY | I | CHAIRMAN | NA | Control |
| DEAN, ALAN SHANE | I | MSRB PRINCIPAL | NA | Control |
| DEAN, ALAN SHANE | I | MSRB PRINCIPAL | NA | Control |
| DOWELL, DOUGLAS CHARLES | I | DIRECTOR OF ADVISORY SERVICES, MSRB PRINCIPAL, CROP | NA | Control |
| DOWELL, DOUGLAS CHARLES | I | DIRECTOR OF ADVISORY SERVICES, MSRB PRINCIPAL, CROP | NA | Control |
| GOMEZ, JENNIFER CAROLINE | I | MSRB PRINCIPAL | NA | |
| HERSH, JASON EDWARD | I | V. P. OPERATIONS, CROP | NA | |
| HERSH, JASON EDWARD | I | V. P. OPERATIONS, CROP | NA | |
| HERSH, JASON EDWARD | I | V. P. OPERATIONS, CROP | NA | |
| HERSH, JASON EDWARD | I | V. P. OPERATIONS, CROP | NA | |
| HOEH, PHILLIP JOHN | I | CHIEF COMPLIANCE OFFICER, CROP | NA | |
| HOEH, PHILLIP JOHN | I | CHIEF COMPLIANCE OFFICER, CROP | NA | |
| HOEH, PHILLIP JOHN | I | CHIEF COMPLIANCE OFFICER, CROP | NA | |
| HOEH, PHILLIP JOHN | I | CHIEF COMPLIANCE OFFICER, CROP | NA | |
| HOEH, PHILLIP JOHN | I | CHIEF COMPLIANCE OFFICER, CROP | NA | |
| HOEH, PHILLIP JOHN | I | CHIEF COMPLIANCE OFFICER, CROP | NA | |
| HOEH, PHILLIP JOHN | I | CHIEF COMPLIANCE OFFICER, CROP | NA | |
| HOEH, PHILLIP JOHN | I | CHIEF COMPLIANCE OFFICER, CROP | NA | |
| HOEH, PHILLIP JOHN | I | CHIEF COMPLIANCE OFFICER, CROP | NA | |
| HOEH, PHILLIP JOHN | I | CHIEF COMPLIANCE OFFICER, CROP | NA | |
| HOEH, PHILLIP JOHN | I | CHIEF COMPLIANCE OFFICER, CROP | NA | |
| HOEH, PHILLIP JOHN | I | CHIEF COMPLIANCE OFFICER, CROP | NA | |
| HOEH, PHILLIP JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| HOEH, PHILLIP JOHN | I | CHIEF COMPLIANCE OFFICER | NA | |
| HOEH, PHILLIP JOHN | I | CHIEF COMPLIANCE OFFICER, CROP | NA | |
| HOEH, PHILLIP JOHN | I | CHIEF COMPLIANCE OFFICER, CROP | NA | |
| HOEH, PHILLIP JOHN | I | CHIEF COMPLIANCE OFFICER, CROP | NA | |
| KONOP, LYNN MARIE | I | CHIEF COMPLIANCE OFFICER | NA | |
| MARTINO, GARY ANTHONY | I | CHIEF OPERATING OFFICER, SROP | NA | Control |
| MARTINO, GARY ANTHONY | I | CHIEF OPERATING OFFICER, SROP | NA | Control |
| MARTINO, GARY ANTHONY | I | EXECUTIVE VICE PRESIDENT, CROP | NA | Control |
| MARTINO, GARY ANTHONY | I | CHIEF OPERATING OFFICER, SROP | NA | Control |
| MARTINO, GARY ANTHONY | I | CHIEF OPERATING OFFICER, SROP | NA | Control |
| MARTINO, GARY ANTHONY | I | CHIEF OPERATING OFFICER, SROP | NA | Control |
| MARTINO, GARY ANTHONY | I | EXECUTIVE VICE PRESIDENT, CROP | NA | Control |
| MARTINO, GARY ANTHONY | I | CHIEF OPERATING OFFICER, SROP | NA | Control |
| MARTINO, GARY ANTHONY | I | CHIEF OPERATING OFFICER, SROP | NA | Control |
| MARTINO, GARY ANTHONY | I | CHIEF OPERATING OFFICER, SROP | NA | Control |
| MARTINO, GARY ANTHONY | I | CHIEF OPERATING OFFICER, SROP | NA | Control |
| MARTINO, GARY ANTHONY | I | CHIEF OPERATING OFFICER, SROP | NA | Control |
| MARTINO, GARY ANTHONY | I | CHIEF OPERATING OFFICER, SROP | NA | Control |
| MARTINO, GARY ANTHONY | I | CHIEF OPERATING OFFICER, SROP | NA | Control |
| MARTINO, GARY ANTHONY | I | CHIEF OPERATING OFFICER, SROP | NA | Control |
| MARTINO, GARY ANTHONY | I | CHIEF OPERATING OFFICER, SROP | NA | Control |
| MARTINO, GARY ANTHONY | I | CHIEF OPERATING OFFICER, SROP | NA | Control |
| MARTINO, GARY ANTHONY | I | CHIEF OPERATING OFFICER, SROP | NA | Control |
| MCDONAGH, MARTIN GREGORY | I | MSRB PRINCIPAL | NA | |
| MCDONAGH, MARTIN GREGORY | I | MSRB PRINCIPAL | NA | |
| MCDONAGH, MARTIN GREGORY | I | MSRB PRINCIPAL | NA | |
| MCDONAGH, MARTIN GREGORY | I | MSRB PRINCIPAL | NA | |
| MCDONAGH, MARTIN GREGORY | I | MSRB PRINCIPAL | NA | |
| METZGER, BARRY SCOTT | I | CEO | NA | Control |
| METZGER, BARRY SCOTT | I | CEO | NA | Control |
| METZGER, BARRY SCOTT | I | CEO | NA | Control |
| METZGER, BARRY SCOTT | I | CEO | NA | Control |
| METZGER, BARRY SCOTT | I | CEO | NA | Control |
| METZGER, BARRY SCOTT | I | CEO | NA | Control |
| METZGER, BARRY SCOTT | I | CEO | NA | Control |
| METZGER, BARRY SCOTT | I | CEO | NA | Control |
| METZGER, BARRY SCOTT | I | CEO | NA | Control |
| METZGER, BARRY SCOTT | I | CEO | NA | Control |
| METZGER, BARRY SCOTT | I | CEO | NA | Control |
| METZGER, BARRY SCOTT | I | CEO | NA | Control |
| METZGER, BARRY SCOTT | I | CEO | NA | Control |
| METZGER, BARRY SCOTT | I | CEO | NA | Control |
| METZGER, BARRY SCOTT | I | CEO | NA | Control |
| METZGER, BARRY SCOTT | I | CEO | NA | Control |
| METZGER, BARRY SCOTT | I | CEO | NA | Control |
| METZGER, BARRY SCOTT | I | CEO | NA | Control |
| METZGER, BARRY SCOTT | I | CEO | NA | Control |
| METZGER, BARRY SCOTT | I | CEO | NA | Control |
| METZGER, BARRY SCOTT | I | CEO | NA | Control |
| METZGER, BARRY SCOTT | I | CEO | NA | Control |
| MOROF, BENJAMIN MARK | I | GENERAL COUNSEL | NA | Control |
| MOROF, BENJAMIN MARK | I | GENERAL COUNSEL | NA | Control |
| MOROF, BENJAMIN MARK | I | GENERAL COUNSEL | NA | Control |
| MOROF, BENJAMIN MARK | I | GENERAL COUNSEL | NA | Control |
| MOROF, BENJAMIN MARK | I | GENERAL COUNSEL | NA | Control |
| MOROF, BENJAMIN MARK | I | GENERAL COUNSEL | NA | Control |
| MOROF, BENJAMIN MARK | I | GENERAL COUNSEL | NA | Control |
| MOROF, BENJAMIN MARK | I | GENERAL COUNSEL | NA | Control |
| MOROF, BENJAMIN MARK | I | GENERAL COUNSEL | NA | Control |
| MOROF, BENJAMIN MARK | I | GENERAL COUNSEL | NA | Control |
| MOROF, BENJAMIN MARK | I | GENERAL COUNSEL | NA | Control |
| MOROF, BENJAMIN MARK | I | GENERAL COUNSEL | NA | Control |
| SCHWARTZ, BLAINE DONALD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SCHWARTZ, BLAINE DONALD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SCHWARTZ, BLAINE DONALD | I | PRESIDENT, CCO | NA | Control |
| SCHWARTZ, BLAINE DONALD | I | PRESIDENT, CCO | NA | Control |
| SCHWARTZ, BLAINE DONALD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| SCHWARTZ, BLAINE DONALD | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| STERN, THOMAS EDWARD | I | CFO, FINOP, SECRETARY, TREASURER | NA | Control |
| STERN, THOMAS EDWARD | I | CFO, FINOP, SECRETARY, TREASURER | NA | Control |
| STERN, THOMAS EDWARD | I | CFO, FINOP, SECRETARY, TREASURER | NA | Control |
| STERN, THOMAS EDWARD | I | CFO, FINOP, SECRETARY, TREASURER | NA | Control |
| STERN, THOMAS EDWARD | I | CFO, FINOP, SECRETARY, TREASURER | NA | Control |
| STERN, THOMAS EDWARD | I | CFO, FINOP, SECRETARY, TREASURER | NA | Control |
| STERN, THOMAS EDWARD | I | CFO, FINOP, SECRETARY, TREASURER | NA | Control |
| STERN, THOMAS EDWARD | I | CFO, FINOP, SECRETARY, TREASURER | NA | Control |
| STERN, THOMAS EDWARD | I | CFO, FINOP, SECRETARY, TREASURER | NA | Control |
| STERN, THOMAS EDWARD | I | CFO, FINOP, SECRETARY, TREASURER | NA | Control |
| STERN, THOMAS EDWARD | I | CFO, FINOP, SECRETARY, TREASURER | NA | Control |
| STERN, THOMAS EDWARD | I | CFO, FINOP, SECRETARY, TREASURER | NA | Control |
| STERN, THOMAS EDWARD | I | CFO, FINOP, SECRETARY, TREASURER | NA | Control |
| STERN, THOMAS EDWARD | I | CFO, FINOP, SECRETARY, TREASURER | NA | Control |
| STERN, THOMAS EDWARD | I | CFO, FINOP, SECRETARY, TREASURER | NA | Control |
| STERN, THOMAS EDWARD | I | CFO, FINOP, SECRETARY, TREASURER | NA | Control |
| STERN, THOMAS EDWARD | I | CFO, FINOP, SECRETARY, TREASURER | NA | Control |
| STERN, THOMAS EDWARD | I | CFO, FINOP, SECRETARY, TREASURER | NA | Control |
| STERN, THOMAS EDWARD | I | CFO, FINOP, SECRETARY, TREASURER | NA | Control |
| STERN, THOMAS EDWARD | I | CFO, FINOP, SECRETARY, TREASURER | NA | Control |
| STERN, THOMAS EDWARD | I | CFO, FINOP, SECRETARY, TREASURER | NA | Control |
| BROKERSXPRESS ILLINOIS, INC. | DE | MANAGING MEMBER | E | Control |
| BROKERSXPRESS ILLINOIS, INC. | DE | MANAGING MEMBER | E | Control |
| BROKERSXPRESS ILLINOIS, INC. | DE | MANAGING MEMBER | E | Control |
| BROKERSXPRESS ILLINOIS, INC. | DE | MANAGING MEMBER | E | Control |
| BROKERSXPRESS ILLINOIS, INC. | DE | MANAGING MEMBER | E | Control |
| BROKERSXPRESS ILLINOIS, INC. | DE | MANAGING MEMBER | E | Control |
| BROKERSXPRESS ILLINOIS, INC. | DE | MANAGING MEMBER | E | Control |
| BROKERSXPRESS ILLINOIS, INC. | DE | MANAGING MEMBER | E | Control |
| BROKERSXPRESS ILLINOIS, INC. | DE | MANAGING MEMBER | E | Control |
| BROKERSXPRESS ILLINOIS, INC. | DE | MANAGING MEMBER | E | Control |
| BROKERSXPRESS ILLINOIS, INC. | DE | MANAGING MEMBER | E | Control |
| BROKERSXPRESS ILLINOIS, INC. | DE | MANAGING MEMBER | E | Control |
| BROKERSXPRESS ILLINOIS, INC. | DE | MANAGING MEMBER | E | Control |
| BROKERSXPRESS ILLINOIS, INC. | DE | MANAGING MEMBER | E | Control |
| BROKERSXPRESS ILLINOIS, INC. | DE | MANAGING MEMBER | E | Control |
| OPTIONSXPRESS HOLDINGS, INC. | DE | OWNER | E | |
| OPTIONSXPRESS HOLDINGS, INC. | DE | OWNER | E | |
| OPTIONSXPRESS HOLDINGS, INC. | DE | OWNER | E | |
| OPTIONSXPRESS HOLDINGS, INC. | DE | OWNER | E | |
| OPTIONSXPRESS HOLDINGS, INC. | DE | OWNER | E | |
| OPTIONSXPRESS HOLDINGS, INC. | DE | OWNER | E | |
| OPTIONSXPRESS HOLDINGS, INC. | DE | OWNER | E | |
| OPTIONSXPRESS HOLDINGS, INC. | DE | OWNER | E | |
| OPTIONSXPRESS HOLDINGS, INC. | DE | OWNER | E |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| OPTIONSXPRESSHOLDINGS, INC. | DE | BROKERSXPRESS ILLINOIS, INC. | E | |
| OPTIONSXPRESSHOLDINGS, INC. | DE | BROKERSXPRESS ILLINOIS, INC. | E | |
| OPTIONSXPRESSHOLDINGS, INC. | DE | BROKERSXPRESS ILLINOIS, INC. | E | |
| OPTIONSXPRESSHOLDINGS, INC. | DE | BROKERSXPRESS ILLINOIS, INC. | E | |
| OPTIONSXPRESSHOLDINGS, INC. | DE | BROKERSXPRESS ILLINOIS, INC. | E | |
| OPTIONSXPRESSHOLDINGS, INC. | DE | BROKERSXPRESS ILLINOIS, INC. | E | |
| OPTIONSXPRESSHOLDINGS, INC. | DE | BROKERSXPRESS ILLINOIS, INC. | E | |
| OPTIONSXPRESSHOLDINGS, INC. | DE | BROKERSXPRESS ILLINOIS, INC. | E | |
| OPTIONSXPRESSHOLDINGS, INC. | DE | BROKERSXPRESS ILLINOIS, INC. | E | |
| OPTIONSXPRESSHOLDINGS, INC. | DE | BROKERSXPRESS ILLINOIS, INC. | E | |
| OPTIONSXPRESSHOLDINGS, INC. | DE | BROKERSXPRESS ILLINOIS, INC. | E | |
| OPTIONSXPRESSHOLDINGS, INC. | DE | BROKERSXPRESS ILLINOIS, INC. | E | |
| OPTIONSXPRESSHOLDINGS, INC. | DE | BROKERSXPRESS ILLINOIS, INC. | E | |
| OPTIONSXPRESSHOLDINGS, INC. | DE | BROKERSXPRESS ILLINOIS, INC. | E | |
| OPTIONSXPRESSHOLDINGS, INC. | DE | BROKERSXPRESS ILLINOIS, INC. | E | |
| THE CHARLES SCHWAB CORPORATION | DE | OPTIONSXPRESS HOLDINGS INC. | E | |
| THE CHARLES SCHWAB CORPORATION | DE | OPTIONSXPRESS HOLDINGS INC. | E | |
| THE CHARLES SCHWAB CORPORATION | DE | OPTIONSXPRESS HOLDINGS INC. | E |
Registrations
Federal
IA
Mar 8, 2012 REGISTERED
Notice Filings (52)
AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK OR PA PR RI SC SD TN TX UT VA VI VT WA WI WV
Address
311 MONROE STREET, SUITE 1000CHICAGO, IL 60606
United States
Phone: 312-630-3300