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 
Click the link below to view financial information for this firm.
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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
Exchanges58
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 NFA Arbitration Decisions 
 RoleNumber
Claimant4
Respondent13
details...
 CFTC Reparations Cases 
Total55
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 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(s) 10% or More
Financial Interest
KIRK RYAN BONNIWELLNO LISTED TITLE
NO
GERALD F CORCORANCEO
NO
GERARD ANTHONY DALTONNO LISTED TITLE
NO
JAMES ANDREW GABRIELENO LISTED TITLE
NO
BRADLEY GLENN GIEMZANO LISTED TITLE
NO
ROBERT MICHAEL LAKENO LISTED TITLE
NO
KAREN NORTHUPCHIEF OPERATING OFFICER
NO
JOHN WILLIAM OBRIENNO LISTED TITLE
YES
ROBERT JOSEPH JR OBRIENNO LISTED TITLE
YES
JAMAL OULHADJNO LISTED TITLE
NO
RJO HOLDINGS CORP
YES
MARK BERNARD SACHSNO LISTED TITLE
NO
AMAR SHAHNO LISTED TITLE
NO
NANCY ANN WESTWICKCHIEF COMPLIANCE OFFICER
NO
MELISSA BETH ZIERKNO LISTED TITLE
NO
 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