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Philip John Finale

Citadel Securities LLC

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About Philip John Finale

Philip John Finale is a financial professional with over 20 years of experience in the securities industry. Philip currently works as a registered representative at Citadel Securities LLC, a position he has held since 2016. Before joining Citadel Securities LLC, Philip worked at KCG Americas LLC, GETCO Securities, LLC, and BANC OF AMERICA SPECIALIST, INC. Philip holds a Series 24 license and has passed a number of other industry exams including the Series 57TO, SIE, Series 7, Series 21, and Series 25.

Firm Information

Philip Finale is currently registered with Citadel Securities LLC. Citadel Securities LLC is a Limited Liability Company formed on July 30, 2001. The firm is registered in 16 states and with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

51

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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Philip Finale’s Registration & Firm History

NY

05/27/2016 - Present

Citadel Securities LLC (New York NY)

NY

07/01/2013 - 06/03/2016

KCG AMERICAS LLC (NEW YORK NY)

NY

12/14/2011 - 07/01/2013

GETCO SECURITIES, LLC (NEW YORK NY)

NY

10/01/2000 - 12/13/2011

BANC OF AMERICA SPECIALIST, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/23/2017

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/19/2014

Series 7 - General Securities Representative Examination

BC

Issued 12/27/2000

Series 21 - NYSE Front Line Specialist Clerk

BC

Issued 11/17/1999

Series 25 - NYSE Trading Assistant 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

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

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 Philip John Finale.
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