{"url":"https://nivawealth.com/firms/professional-trading-services-brokerage-119307","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/119307","regulatoryAum":131700000,"crd":"119307","secFileNumber":"801-136814","legalName":"Professional Trading Services Brokerage, LLC","displayName":"Professional Trading Services Brokerage","slug":"professional-trading-services-brokerage-119307","website":null,"classification":{"segment":"individuals","segmentLabel":"Wealth management","type":"broker_dealer","typeLabel":"Broker-dealer","feeDisclosure":"summary"},"founded":null,"organization":"New Jersey limited liability company","fiscalYearEnd":"December","headquarters":{"street":"Eastgate Business Center, 125 C Gaither DR","city":"MT. Laurel","state":"NJ","stateName":"New Jersey","country":"United States","postalCode":"08054"},"tradeNames":[],"registration":{"secApproved":"11 September 2026","noticeFilings":null,"latestNoticeFiling":null},"wealthAumPerClient":null,"staff":{"employees":18,"advisory":14,"brokerDealerReps":18,"insuranceAgents":13,"promoters":0},"aum":{"regulatory":131700000,"discretionary":128000000,"discretionaryAccounts":685,"nonDiscretionary":3700000,"nonDiscretionaryAccounts":15,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Individuals (other than HNW)","clients":495,"regulatoryAum":122400000},{"label":"High-net-worth individuals","clients":null,"fewerThan5":true,"regulatoryAum":7800000},{"label":"Corporations and other businesses","clients":null,"fewerThan5":true,"regulatoryAum":1500000}],"feePrograms":[],"brochureCoverage":{"scope":"sec_inventory","status":"reviewed_no_numerical_schedule","checkedAt":"2026-10-22T12:31:27.756518+00:00","documents":[{"name":"ADV PART 2A","status":"read","sourceUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1060731","versionId":1060731,"submittedOn":"2026-10-09"}]},"custodians":[],"custodyNote":"Professional Trading Services Brokerage has custody of $105K in client assets for 1 client.","leadership":[],"ownership":[],"filedOffices":{"otherThanPrincipal":6,"privateResidences":0},"listedOfficeAddresses":1,"foreignOffices":[],"officesByState":[{"state":"New Jersey","offices":1,"addresses":[{"street":"Eastgate Business Center, 125 C Gaither DR","city":"MT. Laurel","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"856-802-9400","stateRegisteredReps":14,"otherAdviserReps":1,"compensation":["A percentage of assets under management","Hourly charges","Fixed fees (other than subscription fees)","Commissions"],"activities":["Financial planning services","Portfolio management for individuals and/or small businesses","Selection of other advisers (including private fund managers)"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":64},{"label":"Investment grade corporate bonds","percent":2},{"label":"Derivatives","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":24},{"label":"Cash and cash equivalents","percent":9}],"privateFunds":0},"sources":{"adv1FilingDate":"13 August 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/119307/PDF/119307.pdf","brochureDate":"9 October 2026","brochureUrl":"https://files.adviserinfo.sec.gov/IAPD/Content/Common/crd_iapd_Brochure.aspx?BRCHR_VRSN_ID=1060731","iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","updatedOn":"2026-10-22","holdingsUpdatedOn":"2026-10-21","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Professional Trading Services Brokerage have?","answer":"Professional Trading Services Brokerage has 495 clients and manages $132 million for them, as of August 2026. They include 495 individuals.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 13 August 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Professional Trading Services Brokerage offer?","answer":"Professional Trading Services Brokerage provides financial planning, portfolio management for individuals and small businesses, and selecting other managers.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does Professional Trading Services Brokerage have?","answer":"Professional Trading Services Brokerage has 14 investment adviser representatives registered with state securities authorities, out of 18 employees, and 14 perform investment advisory functions. 18 employees are registered representatives of a broker-dealer and 13 employees are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What does Professional Trading Services Brokerage invest in?","answer":"At the end of its last fiscal year, Professional Trading Services Brokerage’s separately managed accounts held 64% exchange-traded equities, 24% registered funds (mutual funds, ETFs, BDCs), 9% cash and equivalents, 2% investment grade corporate bonds and 1% derivatives.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How does Professional Trading Services Brokerage get paid?","answer":"Professional Trading Services Brokerage is paid through a percentage of assets under management, hourly charges, fixed fees and commissions. Its Form ADV lists no performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Is Professional Trading Services Brokerage registered with the SEC?","answer":"Yes, Professional Trading Services Brokerage has been registered with the SEC as an investment adviser since 11 September 2026. Its CRD number is 119307 and its SEC file number is 801-136814.","source":"Form ADV Part 1A, Item 1, filed 13 August 2026; IAPD firm record","sourceRef":{"doc":"adv1","section":"identity"}},{"question":"How do I contact Professional Trading Services Brokerage?","answer":"Professional Trading Services Brokerage’s main office is at Eastgate Business Center, 125 C Gaither DR, MT. Laurel, NJ 08054. Its phone number is 856-802-9400.","source":"Form ADV Part 1A, Item 1.F, filed 13 August 2026","sourceRef":{"doc":"adv1","section":"offices"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}