Rory Zirpolo

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CRD#: 1618648

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Rory Zirpolo was a registered financial professional .

Rory is a previously registered financial professional and started their career in finance in 1987. Rory had worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 8, 2020 - June 29, 2022

GLMX TECHNOLOGIES, LLC

CRD#: 289301

NEW YORK, NY

Past

November 8, 2017 - April 16, 2018

WALLACHBETH CAPITAL LLC

CRD#: 147853

JERSEY CITY, NJ

Past

February 4, 2015 - March 17, 2017

CANTOR FITZGERALD & CO.

CRD#: 134

NEW YORK, NY

Past

July 24, 2014 - February 12, 2015

COWEN AND COMPANY

CRD#: 7616

NEW YORK, NY

Past

November 18, 2010 - February 24, 2015

COWEN EQUITY FINANCE LP

CRD#: 10019

NEW YORK, NY

Past

November 16, 2001 - November 11, 2010

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

March 26, 1991 - November 19, 2001

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

May 4, 1989 - April 2, 1991

LIT AMERICA, INC.

CRD#: 22381

CHICAGO, IL

Past

July 15, 1987 - May 11, 1989

L. F. ROTHSCHILD & CO. INCORPORATED

CRD#: 501

Past

January 21, 1987 - July 6, 1987

MABON, NUGENT & CO.

CRD#: 2617

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 3/13/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 4/16/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/22/2006

National Commodity Futures Examination

General Industry/Product Exam

Series 55

Date: 1/8/2002

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 1/17/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/2/1998

General Securities Principal Examination

Current Firm

GLMX TECHNOLOGIES, LLC

GLMX TECHNOLOGIES LLC | GLMX TECHNOLOGIES, LLC

CRD#: 289301 / SEC#: , 8-69987

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

666 3rd Avenue 32nd Fl, New York, NY, 10017

Mailing Address

666 3rd Avenue 32nd Fl, New York, NY, 10017

Phone number

(929) 445-6900

Established

Delaware since 06/01/2017

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
GLOBAL LIQUID MARKETS, LLC	MANAGING MEMBER
CARROLL, LAUREN D	CAO, GENERAL COUNSEL	5459835
GRAY, BRYAN HARRISON	CHIEF COMPLIANCE OFFICER	6535190
HAVLICEK, GLENN STEWART	CEO & CLO	1798717
LAHOUD, MICHAEL	PRINCIPAL OPERATIONS OFFICER (POO)/ CFO/ FINOP/PFO	6620329

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Rory Zirpolo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WALLACHBETH CAPITAL LLC

CANTOR FITZGERALD & CO.

COWEN AND COMPANY

COWEN EQUITY FINANCE LP

CREDIT SUISSE SECURITIES (USA) LLC

PERSHING LLC

LIT AMERICA, INC.

L. F. ROTHSCHILD & CO. INCORPORATED

MABON, NUGENT & CO.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/13/1987

Series 57TO

Date: 1/2/2023

SIE

Date: 4/16/2018

Series 3

Date: 5/22/2006

Series 55

Date: 1/8/2002

Series 7

Date: 1/17/1987

Series 24

Date: 11/2/1998

Current Firm

GLMX TECHNOLOGIES, LLC

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

GLMX TECHNOLOGIES, LLC

TRUST BUT VERIFY

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