AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Why Advisor Check
KG

Kenneth C. Griffin

CITADEL SECURITIES LLC
Miami, FL 33131
Some features on this profile are disabled
CRD#: 1985894
KG

Professional summary


Kenneth Cordele Griffin, who also goes by Ken Griffin, is a registered financial professional currently at CITADEL SECURITIES LLC located in Miami, Florida.

Kenneth is registered as a RR (Registered Representative) and started their career in finance in 1989. Kenneth has worked at 6 firms and has passed the Series 63, Series 32, Series 55, Series 7, Series 27, Series 4 and Series 24 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


Ken Griffin

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 Kenneth Cordele Griffin'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

February 22, 2012 - Present

CITADEL SECURITIES LLC

Office #1: 830 Brickell Plaza, Miami, FL 33131
BD
CRD#: 116797
Miami, FL
Past

May 19, 1999 - April 15, 2003

NEXBRIDGE CAPITAL MARKETS LLC

BD
CRD#: 45631
CHICAGO, IL
Past

August 21, 1995 - November 17, 2003

ARAGON INVESTMENTS, LTD.

BD
CRD#: 37134
CHICAGO, IL
Past

January 31, 1995 - December 15, 1999

TITAN SECURITIES, L.L.C.

BD
CRD#: 37628
CHICAGO, IL
Past

October 17, 1991 - June 17, 1993

MARCH CAPITAL CORP.

BD
CRD#: 24142
CHICAGO, IL
Past

November 16, 1989 - November 17, 2003

CITADEL TRADING GROUP L.L.C.

BD
CRD#: 24514
CHICAGO, IL

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
RR
Series 63
Date: 11/21/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 32
Date: 11/7/2012
Limited Futures Exam-Regulation
General Industry/Product Exam
RR
Series 55
Date: 3/22/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
New York Stock Exchange

Current Firm


CS
CITADEL SECURITIES LLC
CITADEL DERIVATIVES GROUP LLC | CITADEL SECURITIES LLC

CRD#: 116797 / SEC#: , 8-53574

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information


Main Address
830 Brickell Plaza, Miami, FL 33131
Mailing Address
830 Brickell Plaza, Miami, FL 33131
Phone number
(305) 929-6851
Established
Delaware since 07/30/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (15 States and Territories)


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

Documents


Direct owners and executive officers


NamePositionCRD#
CSHC US LLCOWNER
ZHAO, PENGCHIEF EXECUTIVE OFFICER4978269
CITADEL SECURITIES GROUP LP (FKA CALC IV LP)MANAGING MEMBER
HAROLD, MARC RYANCHIEF COMPLIANCE OFFICER3200916
HENRY, STEVEN MICHAELCHIEF ACCOUNTING OFFICER5587809

Disclosures


Regulatory Event75
Arbitration1

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


CITADEL SECURITIES LLC

CRD#: 116797Miami, FL 33131

TRUST BUT VERIFY

Monitor Kenneth Griffin

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors


Noah Philip Alweiss
Noah AlweissAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
Miami, FL
footer-logo

AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.