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Jeffrey Waltz

SG Americas Securities, LLC

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About Jeffrey Waltz

Jeffrey Waltz is a financial professional with over 8 years of experience in the industry. Jeffrey is currently registered with SG Americas Securities, LLC. Jeffrey has previously been registered with HSBC Securities (USA) Inc. and SG Americas Securities, LLC. Jeffrey is licensed to conduct business in all 50 states and Puerto Rico. Jeffrey holds the Series 3, Series 57TO, SIE, Series 56, Series 55, and Series 7 licenses. Jeffrey is also registered with the state of New York.

Firm Information

Jeffrey Waltz is currently registered with SG Americas Securities, LLC. SG Americas Securities, LLC is a Limited Liability Company formed on August 8, 2003. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico. They have a history of regulatory events, including 109 disclosures, as well as a criminal disclosure and an arbitration disclosure.

Not reported

Assets Under Management

Not reported

Total Clients

557

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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Jeffrey Waltz’s Registration & Firm History

NY

07/14/2023 - Present

SG Americas Securities, LLC (NEW YORK NY)

NY

08/26/2022 - 07/13/2023

HSBC SECURITIES (USA) INC. (NEW YORK NY)

NY

11/18/2013 - 04/16/2021

SG AMERICAS SECURITIES, LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 12/09/2013

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/24/2023

Series 3 - National Commodity Futures Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/12/2014

Series 56 - Proprietary Trader Qualification Examination

BC

Issued 05/05/2014

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 11/18/2013

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

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX PEARL, 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 Jeffrey Waltz.
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