Sergio J. Lupetin
Professional summary
Sergio Joseph Lupetin, who also goes by Sergio Lupetin, is a registered financial professional currently at CITADEL SECURITIES INSTITUTIONAL LLC located in New York, New York and CITADEL CLEARING LLC located in New York, New York.
Sergio is registered as a RR (Registered Representative) and started their career in finance in 1984. Sergio has worked at 16 firms and has passed the Series 63, Series 3, Series 99TO, SIE, Series 6, Series 30 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sergio Joseph Lupetin's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 23, 2024 - Present
CITADEL SECURITIES INSTITUTIONAL LLC
Office #1: 350 Park Avenue, New York, NY 10022January 23, 2024 - Present
CITADEL CLEARING LLC
Office #1: 350 Park Avenue, New York, NY 10022January 23, 2024 - Present
PALAFOX TRADING LLC
Office #1: 350 Park Avenue, New York, NY 10022January 23, 2024 - Present
CITADEL SECURITIES LLC
Office #1: 350 Park Avenue 10th Floor, New York, NY 10022July 16, 2018 - September 29, 2020
WAKE USA LLC
July 16, 2018 - January 31, 2022
CREDIT SUISSE PRIME SECURITIES SERVICES (USA) LLC
May 22, 2018 - January 5, 2024
CREDIT SUISSE SECURITIES (USA) LLC
March 1, 2017 - May 31, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 1, 2017 - May 31, 2018
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
September 5, 2014 - February 17, 2017
MORGAN STANLEY
September 11, 2012 - August 12, 2013
MS SECURITIES SERVICES INC.
September 11, 2012 - February 17, 2017
PRIME DEALER SERVICES CORP.
September 4, 2012 - February 17, 2017
MORGAN STANLEY DISTRIBUTION, INC.
August 16, 1999 - February 17, 2017
MORGAN STANLEY & CO. LLC
December 5, 1996 - September 7, 1999
ABN AMRO SECURITIES LLC
January 24, 1984 - December 11, 1984
FORESTERS FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationBOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current Firm
CITADEL SECURITIES LLC
CRD#: 116797 / SEC#: , 8-53574
Contact information
FINRA licenses (15 States and Territories)
Documents
Disclosures
| Regulatory Event | 75 |
| Arbitration | 1 |
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