Stuart Kessler
Professional summary
Stuart Kessler is a registered financial professional currently at SG AMERICAS SECURITIES, LLC located in New York, New York.
Stuart is registered as a RR (Registered Representative) and started their career in finance in 1996. Stuart has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stuart Kessler's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 20, 2025 - Present
SG AMERICAS SECURITIES, LLC
Office #1: 245 Park Avenue, New York, NY 10167May 13, 2019 - November 24, 2020
RBC CAPITAL MARKETS, LLC
May 13, 2019 - November 24, 2020
RBC CAPITAL MARKETS, LLC
May 28, 2014 - June 21, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 3, 2014 - June 21, 2017
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 6, 2010 - February 25, 2013
PALAFOX TRADING LLC
July 28, 2010 - February 25, 2013
CITADEL SECURITIES LLC
July 10, 1997 - April 21, 2010
NATWEST MARKETS SECURITIES INC.
January 22, 1996 - June 18, 1997
AVANTAX INVESTMENT 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
BOX 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 PEARL, 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
SG AMERICAS SECURITIES, LLC
CRD#: 128351 / SEC#: , 8-66125
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SG AMERICAS SECURITIES HOLDINGS, LLC | DIRECT OWNER | |
| CARTIER, SYLVAIN | CO - CHIEF EXECUTIVE OFFICER | 6390499 |
| GERLESITS, WILLIAM R | CHIEF COMPLIANCE OFFICER | 5457051 |
| O'KEEFE, THOMAS WILLIAM | PRINCIPAL FINANCIAL OFFICER | 3054453 |
| VAN HAUWERMEIREN, GUIDO MARIA | CO - CHIEF EXECUTIVE OFFICER | 5974025 |
| WALSH, MICHAEL PATRICK | PRINCIPAL OPERATIONS OFFICER | 1060871 |
| ZIELINSKI, GREGORY W | CHIEF OPERATING OFFICER | 2384242 |
Disclosures
| Regulatory Event | 114 |
| Criminal | 1 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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