Sean V. Carroll
Professional summary
Sean Vincent Carroll 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.
Sean is registered as a RR (Registered Representative) and started their career in finance in 1995. Sean has worked at 11 firms and has passed the Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 53, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sean Vincent Carroll's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 11, 2023 - Present
CITADEL SECURITIES INSTITUTIONAL LLC
Office #1: 425 Park Avenue, New York, NY 10022September 11, 2023 - Present
CITADEL CLEARING LLC
Office #1: 350 Park Avenue, New York, NY 10022September 11, 2023 - Present
PALAFOX TRADING LLC
Office #1: 350 Park Avenue, New York, NY 10022September 11, 2023 - Present
CITADEL SECURITIES LLC
Office #1: 425 Park Avenue, New York, NY 10022November 10, 2022 - September 6, 2023
GOLDMAN SACHS CUSTODY SOLUTIONS
October 16, 2019 - July 19, 2022
BNY MELLON CAPITAL MARKETS, LLC
June 7, 2016 - August 15, 2019
GOLDMAN SACHS & CO. LLC
April 22, 2002 - June 15, 2016
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
July 8, 1998 - May 2, 2002
GOLDMAN SACHS & CO. LLC
October 7, 1996 - June 18, 1998
MORGAN STANLEY & CO. LLC
January 1, 1996 - October 9, 1996
PRUDENTIAL EQUITY GROUP, LLC
April 5, 1995 - December 11, 1995
UBS 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 52TO
Date: 1/10/2023
Municipal Securities Representative ExaminationSeries 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 |
Red Flags
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