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DM

Douglas T. Modico

VIRTU AMERICAS LLC
New York, NY 10019
Some features on this profile are disabled
CRD#: 1754042
DM

Professional summary

Douglas Thomas Modico, who also goes by Doug Modico, Douglas Thomas Modico Jr, Douglas T Modico, is a registered financial professional currently at VIRTU AMERICAS LLC located in New York, New York.

Douglas is registered as a RR (Registered Representative) and started their career in finance in 1987. Douglas has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Doug Modico | Douglas Thomas Modico Jr | Douglas T Modico

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) - BD

Click below to view Douglas Thomas Modico's CRS (Customer Relationship Summary).

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

Current

November 3, 2023 - Present

VIRTU AMERICAS LLC

Office #1: 1633 Broadway 41st Fl, New York, NY 10019
BD
CRD#: 149823
New York, NY
Past

June 12, 2017 - October 12, 2023

BTIG, LLC

BD
CRD#: 122225
Garden City, NY
Past

June 3, 2016 - July 12, 2017

AUERBACH GRAYSON & COMPANY LLC

BD
CRD#: 30761
Garden City, NY
Past

July 2, 2012 - February 24, 2016

VIRTU AMERICAS LLC

BD
CRD#: 149823
GARDEN CITY, NY
Past

July 2, 2003 - July 2, 2012

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
GARDEN CITY, NY
Past

June 7, 1999 - July 7, 2003

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

January 1, 1996 - May 19, 1999

HSBC SECURITIES (USA) INC.

BD
CRD#: 19585
NEW YORK CITY, NY
Past

October 25, 1994 - January 1, 1996

JAMES CAPEL INCORPORATED

BD
CRD#: 15390
Past

October 20, 1987 - October 4, 1994

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(11/3/2023)
RR
Colorado
(11/3/2023)
RR
Connecticut
(11/3/2023)
RR
Delaware
(11/3/2023)
RR
District of Columbia
(11/3/2023)
RR
Georgia
(11/3/2023)
RR
Illinois
(11/3/2023)
RR
Indiana
(11/3/2023)
RR
Massachusetts
(11/3/2023)
RR
New Jersey
(11/3/2023)
RR
New York
(11/3/2023)
RR
North Carolina
(11/3/2023)
RR
Pennsylvania
(11/3/2023)
RR
Texas
(11/3/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 11/6/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 4/1/2004
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 10/17/1987
General Securities Representative Examination
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

VA
VIRTU AMERICAS LLC
KCG AMERICAS LLC | VIRTU AMERICAS LLC | KNIGHT EXECUTION & CLEARING SERVICES LLC | KNIGHT CLEARING SERVICES LLC | KNIGHT CAPITAL AMERICAS LLC

CRD#: 149823 / SEC#: , 8-68193

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

Main Address
1633 Broadway 41st Floor, New York, NY 10019
Mailing Address
1633 Broadway 41st Floor, New York, NY 10019
Phone number
(646) 682-6000
Established
Delaware since 02/06/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
VIRTU STRATEGIC HOLDINGS LLC.OWNER
CAVOLI, STEPHEN JOHNCEO4468202
MILLER, JUSTIN WADECHIEF COMPLIANCE OFFICER6418036
RUPPRECHT, NICHOLAS ANDREWPRINCIPAL OPERATIONS OFFICER5790389
SULLIVAN, JOHN GERALDFINOP4330347

Disclosures

Regulatory Event74
Civil Event1

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.

Company Information

VIRTU AMERICAS LLC

CRD#: 149823New York, NY 10019

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