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CV

Craig Viani

OPTIMX SECURITIES LLC
westport, CT 06880
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CRD#: 2661770
CV

Professional summary


Craig Viani is a registered financial professional currently at OPTIMX SECURITIES LLC located in Westport, Connecticut.

Craig is registered as a RR (Registered Representative) and started their career in finance in 1996. Craig has worked at 6 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

Aliases


None

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 Craig Viani'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

January 13, 2022 - Present

OPTIMX SECURITIES LLC

Office #1: 101 Franklin Street Suite 4, Westport, CT 06880Office #2: 101 Franklin Street Suite 4, Westport, CT 06880
BD
CRD#: 290963
westport, CT
Past

December 22, 2015 - January 17, 2020

LIQUIDNET, INC.

BD
CRD#: 103987
NEW YORK, NY
Past

February 27, 2003 - October 1, 2014

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY
Past

December 3, 1999 - March 24, 2000

VIRTU ALTERNET SECURITIES LLC

BD
CRD#: 47867
NEW YORK, NY
Past

October 1, 1998 - February 11, 2003

VIRTU ITG LLC

BD
CRD#: 29299
NEW YORK, NY
Past

August 5, 1996 - September 4, 1998

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY

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
(1/13/2022)
RR
Connecticut
(7/25/2022)
RR
New Jersey
(7/25/2022)

Exams


State Security Law Exam
RR
Series 63
Date: 11/11/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/18/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA

Current Firm


OS
OPTIMX SECURITIES LLC
OPTIMX SECURITIES LLC | SURFTRADE LLC

CRD#: 290963 / SEC#: , 8-70041

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


Main Address
101 Franklin Street Suite 4, Westport, CT 06880
Mailing Address
101 Franklin Street Suite 4, Westport, CT 06880
Phone number
(310) 907-6370
Established
Nevada since 12/01/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (22 States and Territories)


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

Documents


Direct owners and executive officers


NamePositionCRD#
OPTIMX MARKETSOWNER
BARNETT, DAVID ALLENCEO4478679
LEGAYE, DANIEL EUGENE SRFINOP1055035
MARTEL, LAWRENCE GILBERTCCO2177025

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


OPTIMX SECURITIES LLC

CRD#: 290963Westport, CT 06880

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