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ADVANCED MARKETS LLC NFA ID: 0368125 Current Status • NFA MEMBER APPROVED  • FUTURES COMMISSION MERCHANT REGISTERED  FCM Financial Information Click the link below to view financial information for this firm View Financial Information Firm Activity Status Firm has on-exchange futures and/or options customer accounts No Firm is soliciting customers No Firm manages futures or options customer accounts No Firm operates commodity pools No Firm is engaged in retail off-exchange foreign currency futures and/or options Yes Regulatory Actions  Agency Number NFA 1 CFTC 0 Exchanges 0 details...   NFA Arbitration Decisions  Role Number Claimant 0 Respondent 0 details...   CFTC Reparations Cases Total 2 details... Formerly Known As • ADVANCED MARKETS INC   Business Address 11325 NORTH COMMUNITY HOUSE RD. SUITE 425 CHARLOTTE, NC  28277 UNITED STATES 704-544-9446 Doing Business As No other names Listed Principals  Listed Principal Name Title 10% or More Financial Interest ADVANCED MARKETS HOLDINGS LLC YES ANTHONY PETER BROCCO CHIEF EXECUTIVE OFFICER YES GEOFFREY GOOCH CHIEF COMPLIANCE OFFICER NO History  Status Effective Date • RETAIL FOREIGN EXCHANGE DEALER WITHDRAWN 03/12/2013  • FOREX FIRM WITHDRAWN 03/12/2013  • FOREX DEALER MEMBER WITHDRAWN 03/12/2013  • FOREX DEALER MEMBER APPROVED 10/05/2010  • FOREX FIRM APPROVED 10/05/2010  • RETAIL FOREIGN EXCHANGE DEALER REGISTERED 10/05/2010  • FOREX DEALER MEMBER PENDING 09/13/2010  • FOREX FIRM PENDING 09/13/2010  • RETAIL FOREIGN EXCHANGE DEALER PENDING 09/13/2010  • NFA MEMBER APPROVED 06/08/2006  • FUTURES COMMISSION MERCHANT REGISTERED 06/08/2006  • NFA MEMBER PENDING 04/05/2006  • FUTURES COMMISSION MERCHANT PENDING 04/05/2006