About The Small Exchange, Inc. The Small Exchange’s mission is to empower individual investors by providing appropriately sized futures products that are capital efficient, simple to use, and simple to understand for all participants. Based in Chicago, The Small Exchange aims to improve the relationship exchanges have with the individual investor, improving their customer experience every step of the way.
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President and CEO
Mr. Roberts is the President and Chief Executive Officer of the Small Exchange, Inc. He has over 20 years of experience in the financial industry encompassing a broad range of job functions and management positions.
Prior to taking on the role of CEO of Small Exchange, Inc. Mr. Roberts was the President and Chief Operating Officer of TD Ameritrade Futures and Forex LLC a NFA registered FCM/FDM where responsibilities included oversight of execution, clearing, compliance and relationship management until October of 2016. Before his position at TD Ameritrade Mr. Roberts was a founding employee and principal of thinkorswim, Inc. a FINRA and NFA registered firm where he held the positions of Managing Director of Operations, Chief Compliance Officer and Chief Operating Officer of thinkorswim, which was acquired by TD Ameritrade in 2009. During his tenure at thinkorswim Mr. Roberts was instrumental in the procurement of licenses and compliance with the standards of several jurisdictions including NFA, FINRA, the registration of thinkorswim Singapore, thinkorswim Australia and thinkorswim Canada.
He started his career as a clerk and Market Maker for Timberhill LLC at the Chicago Board Options Exchange later selling electronic trading platforms for Interactive Brokers LLC providing electronic access to exchanges worldwide. Mr. Roberts attended St. Bonaventure University in New York where he earned his Bachelor’s degree in Mass Communication and an MBA in Finance. He also studied Economics and Sociology at Oxford University. Mr. Roberts still holds a Series 4, 7, 24, 55 and 63 licenses.