Tradeking Advisors, Inc. (Charlotte)

Name: Tradeking Advisors, Inc.
Address: 11605 N Community House Road, Charlotte, NC, 28277
Telephone: 855-880-2559

Tradeking Advisors, Inc. is a multi-state adviser based in Charlotte. It manages $18 million of regulatory assets for 1,778 client accounts. It has been registered with the SEC as an adviser since 2014 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 44 other states.

Tradeking Advisors provides portfolio management for individuals and small businesses. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Tradeking Advisors: assets under management

The assets under management (AUM) of Tradeking Advisors, Inc. is $18 million, all of which is managed in discretionary accounts. The firm's AUM has grown by 936% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $18 million in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $10.12 thousand each.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Tradeking Advisors, Inc. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Tradeking Advisors, Inc.

Richard John Hagen has been acting as President since 1 Apr 2014. Philip Andrew Claxton joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Inc. Tradeking Group	Majority shareholder	1 Sep 2012	75% - 100%	27-0144173
Ally Invest Group Inc.	Majority shareholder	1 Sep 2012	75% - 100%	27-0144173
David Stanley Dusseault	Chief compliance officer	1 Jan 2014	Other	2819891
Richard John Hagen	Chief executive officer/president	1 Apr 2014	Other	2185011
Michael J Chiodo	Vice president of finance	1 Apr 2014	Other	2097132
Thomas Albert Desmond	Chief financial officer/secretary	1 Apr 2014	Other	2623436
Donato Anthony Montanaro	Chairman of the board	1 Apr 2014	Other	2259817
Roberto Ettore Donovan	Chief compliance officer	1 Oct 2014	Other	2389987
David Stanley Dusseault	Vice president	1 Oct 2014	Other	2819891
Jessica Mei Ling Beloin Ciero	Chief compliance officer	1 Jun 2016	Other	4533934
Philip Andrew Claxton	Chief compliance officer	1 Jul 2016	Other	3190367

Indirect Owners

The SEC currently registers 4 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Tradeking Holdings Llc	Shareholder	1 Dec 2009	25% - 50%	46-0543371
Zecco International Bv	Shareholder	1 Dec 2009	50% - 75%	815249433b013270
Inc. Ally Financial	Shareholder	1 Jun 2016	75% - 100%	38-0572512
Ally Financial Inc.	Shareholder	1 Jun 2016	75% - 100%	38-0572512

Based in Charlotte

The principal office where Tradeking Advisors, Inc. performs its advisory services is located at 11605 N Community House Road, Charlotte, NC 28277, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 855-880-2559 or by fax 866-699-0563. The normal business hours are 8 am to 6 pm et on Monday - Friday. You can find more information about the New York firm at tradeking.com.