Unclaimed
Carl Joseph Vallese is a financial professional with over 20 years of experience in the securities industry. Carl has worked for several prominent firms including Citigroup Global Markets Inc., Spear, Leeds & Kellogg Specialists LLC, and Citadel Securities LLC. Carl has a strong background in trading and operations, holding licenses for Series 7, 24, 55, 21, 25, 57TO, and 99TO. Carl is currently employed with Two Sigma Execution Services, LLC and Two Sigma Securities, LLC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
NY
04/02/2024 - Present
TWO Sigma Execution Services, LLC (New York NY)
NY
05/10/2010 - 07/11/2012
CITADEL SECURITIES LLC (NEW YORK NY)
NY
12/23/2009 - 04/21/2010
COMMERZ MARKETS LLC (NEW YORK NY)
NY
04/13/2004 - 12/19/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
03/14/2002 - 04/01/2004
SPEAR, LEEDS & KELLOGG SPECIALISTS LLC (NEW YORK NY)
NY
11/09/2001 - 04/01/2004
SPEAR, LEEDS & KELLOGG, L.P. (NEW YORK NY)
BC
Issued 01/14/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/13/2011
Series 14 - Compliance Officer Examination
BC
Issued 12/19/2007
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/26/2003
Series 21 - NYSE Front Line Specialist Clerk
BC
Issued 11/07/2002
Series 25 - NYSE Trading Assistant Examination
BC
Issued 12/06/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/08/2001
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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