James Patrick Esposito
Professional Summary
James Patrick Esposito is a registered financial advisor currently at CITADEL SECURITIES INSTITUTIONAL LLC located in Miami, Florida and CITADEL SECURITIES LLC located in Miami, Florida. James is registered as a RR (Registered Representative) and started their career in finance in 1995. James has worked at 3 firms and has passed the Series 63, Series 79TO, Series 52TO, SIE, Series 3, Series 7, Series 10, Series 53 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Contact Information
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Disclosures on record.
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Years of Experience
31 years in the financial services industry
Current & Past Employments
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Current Firm
CITADEL DERIVATIVES GROUP LLC | CITADEL SECURITIES LLC
Contact Information
Main Address
830 Brickell Plaza Floor 15, Miami, FL 33131Mailing Address
830 Brickell Plaza Floor 15, Miami, FL 33131Phone Number
(305) 929-6851Established
Delaware since 07/30/2001Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
LargeFINRA licenses (15 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CSHC US LLC | OWNER | — |
| ZHAO, PENG | CHIEF EXECUTIVE OFFICER | 4978269 |
| CARROLL, SEAN VINCENT | PRINCIPAL OPERATIONS OFFICER | 2518443 |
| CITADEL SECURITIES GROUP LP (FKA CALC IV LP) | MANAGING MEMBER | — |
| HENRY, STEVEN MICHAEL | CHIEF ACCOUNTING OFFICER AND FINOP | 5587809 |
| LEVY, SETH GARDNER | CHIEF COMPLIANCE OFFICER | 7718259 |
Disclosures
Regulatory Event
76Arbitration
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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.
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State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view James Patrick Esposito's CRS (Customer Relationship Summary).
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