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Details

RJ OBRIEN ASSOCIATES LLC NFA ID: 0000187

Current Status
• SWAP DEALER PROVISIONALLY REGISTERED 
• SWAP FIRM APPROVED 
• EXEMPT FOREIGN FIRM AGENT APPROVED 
• FOREX FIRM APPROVED 
• NOTICE BROKER DEALER REGISTERED 
• NFA MEMBER APPROVED 
• FUTURES COMMISSION MERCHANT REGISTERED 
FCM Financial Information
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Firm Activity Status
Firm has on-exchange futures and/or options customer accountsYes
Firm is soliciting customersYes
Firm manages futures or options customer accountsYes
Firm operates commodity poolsNo
Firm is engaged in retail off-exchange foreign currency futures and/or optionsNo
Regulatory Actions
 AgencyNumber
NFA0
CFTC3
Exchanges57
details...
 
NFA Arbitration Decisions
 RoleNumber
Claimant4
Respondent13
details...
 
CFTC Reparations Cases
Total54
details...
Formerly Known As
• RJ OBRIEN ASSOCIATES INC
 
Business Address
222 S RIVERSIDE PLAZA
SUITE 1200
CHICAGO, IL  60606
UNITED STATES
(312) 373-5000
Doing Business As
• RJO FUTURES• RJO FX
• RJO MARKET RESEARCH AND TRADING• RJO PROFESSIONAL FX
• RMB 
Listed Principals
 Listed Principal Name Title 10% or More
Financial Interest
MELISSA BETH ANDREWSNO LISTED TITLENO
TROY MATTHEW ANGERSNO LISTED TITLENO
KIRK RYAN BONNIWELLNO LISTED TITLENO
GERALD F CORCORANCEONO
GERARD ANTHONY DALTONNO LISTED TITLENO
JAMES ANDREW GABRIELENO LISTED TITLENO
ROBERT MICHAEL LAKENO LISTED TITLENO
KAREN NORTHUPCHIEF OPERATING OFFICERNO
JOHN WILLIAM OBRIENNO LISTED TITLEYES
ROBERT JOSEPH JR OBRIENNO LISTED TITLEYES
JAMAL OULHADJNO LISTED TITLENO
RJO HOLDINGS CORP YES
MARK BERNARD SACHSNO LISTED TITLENO
NANCY ANN WESTWICKCHIEF COMPLIANCE OFFICERNO
History
 Status Effective Date
• FOREX DEALER MEMBER WITHDRAWN06/10/2016 
• SWAP DEALER PROVISIONALLY REGISTERED03/31/2013 
• SWAP DEALER PENDING03/22/2013 
• SWAP FIRM APPROVED11/21/2012 
• SWAP FIRM PENDING10/03/2012 
• EXEMPT FOREIGN FIRM AGENT APPROVED10/01/2012 
• FOREX DEALER MEMBER APPROVED09/08/2010 
• FOREX FIRM APPROVED09/08/2010 
• FOREX DEALER MEMBER PENDING09/02/2010 
• FOREX FIRM PENDING09/02/2010 
• COMMODITY POOL OPERATOR WITHDRAWN01/07/2005 
• COMMODITY POOL OPERATOR REGISTERED12/03/2004 
• COMMODITY POOL OPERATOR PENDING12/02/2004 
• NOTICE BROKER DEALER REGISTERED04/01/2002 
• FUTURES COMMISSION MERCHANT REGISTERED04/22/1988 
• FUTURES COMMISSION MERCHANT FAILED TO RENEW03/31/1988 
• NFA MEMBER APPROVED07/01/1982 
• FUTURES COMMISSION MERCHANT REGISTERED12/20/1977 
RJ OBRIEN ALTERNATIVE ASSET MANAGEMENT LLC 
• PRINCIPAL WITHDRAWN 12/23/2010 
• PRINCIPAL APPROVED 12/13/2004 
 
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