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Carl Joseph Vallese

TWO Sigma Execution Services, LLC

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About Carl Joseph Vallese

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.

Firm Information

Carl Vallese is currently registered with TWO Sigma Execution Services, LLC. TWO Sigma Execution Services, LLC is a Limited Liability Company formed in New York on June 1, 2023. The firm is registered with the SEC and the state of New York.

Not reported

Assets Under Management

Not reported

Total Clients

13

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Carl Vallese’s Registration & Firm History

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)

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Licenses & Designations

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

State Registrations

Active

Inactive

SRO Registrations

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

Disclosures

There are no public disclosures for Carl Joseph Vallese.
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