Finbar M. Carrig

CITADEL SECURITIES INSTITUTIONAL LLC

New York, NY 10022

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CRD#: 2936704

Professional summary

Finbar Michael Carrig 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.

Finbar is registered as a RR (Registered Representative) and started their career in finance in 1997. Finbar has worked at 12 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 14, Series 9, Series 10 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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 Finbar Michael Carrig'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

August 6, 2024 - Present

CITADEL SECURITIES INSTITUTIONAL LLC

Office #1: 425 Park Avenue, New York, NY 10022

CRD#: 281102

New York, NY

Current

August 6, 2024 - Present

CITADEL CLEARING LLC

Office #1: 350 Park Avenue, New York, NY 10022

CRD#: 172693

New York, NY

Current

August 6, 2024 - Present

PALAFOX TRADING LLC

Office #1: 350 Park Avenue, New York, NY 10022

CRD#: 131114

New York, NY

Current

August 6, 2024 - Present

CITADEL SECURITIES LLC

Office #1: 425 Park Avenue, New York, NY 10022

CRD#: 116797

New York, NY

Past

July 8, 2014 - July 22, 2024

WELLS FARGO SECURITIES, LLC

CRD#: 126292

New York, NY

Past

July 8, 2014 - July 22, 2024

WELLS FARGO PRIME SERVICES, LLC

CRD#: 133068

New York, NY

Past

August 7, 2012 - July 9, 2014

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

March 29, 2004 - August 21, 2012

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

December 7, 1999 - March 22, 2004

WALL STREET ACCESS

CRD#: 10012

NEW YORK, NY

Past

April 3, 1998 - November 24, 1999

CANTOR FITZGERALD SECURITIES

CRD#: 19660

NEW YORK, NY

Past

October 20, 1997 - March 27, 1998

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

September 3, 1997 - November 10, 1997

CONTINENTAL BROKER-DEALER CORP.

CRD#: 14048

CARLE PLACE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(8/6/2024)

Exams

State Security Law Exam

Series 63

Date: 9/19/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 6/10/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 9/2/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 8/30/2000

Compliance Officer Examination

Principal/Supervisory Exam

Series 9

Date: 11/22/1999

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 11/6/1999

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 10/22/1999

General Securities Principal Examination

SRO Registrations

BOX Exchange LLC

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe C2 Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

Long-Term Stock Exchange, Inc.

SRO Registrations

MEMX LLC

SRO Registrations

MIAX Emerald, LLC

SRO Registrations

MIAX PEARL, LLC

SRO Registrations

MIAX Sapphire

SRO Registrations

Miami International Securities Exchange, LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

NYSE National, Inc.

SRO Registrations

NYSE Texas, Inc.

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq GEMX, LLC

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq MRX, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

CITADEL SECURITIES LLC

CITADEL DERIVATIVES GROUP LLC | CITADEL SECURITIES LLC

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

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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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)

Documents

Direct owners and executive officers

Name	Position	CRD#
CSHC US LLC	OWNER
ZHAO, PENG	CHIEF EXECUTIVE OFFICER	4978269
CITADEL SECURITIES GROUP LP (FKA CALC IV LP)	MANAGING MEMBER
HAROLD, MARC RYAN	CHIEF COMPLIANCE OFFICER	3200916
HENRY, STEVEN MICHAEL	CHIEF ACCOUNTING OFFICER	5587809

Disclosures

Regulatory Event	75
Arbitration	1

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.

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Advisor Monitoring

Firm Stability Insights

Finbar M. Carrig

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Finbar Michael Carrig's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITADEL CLEARING LLC

PALAFOX TRADING LLC

CITADEL SECURITIES LLC

WELLS FARGO SECURITIES, LLC

WELLS FARGO PRIME SERVICES, LLC

BARCLAYS CAPITAL INC.

MORGAN STANLEY & CO. LLC

WALL STREET ACCESS

CANTOR FITZGERALD SECURITIES

JOSEPHTHAL & CO., INC.

CONTINENTAL BROKER-DEALER CORP.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/19/1997

Series 99TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 6/10/1999

Series 7

Date: 9/2/1997

Series 14

Date: 8/30/2000

Series 9

Date: 11/22/1999

Series 10

Date: 11/6/1999

Series 24

Date: 10/22/1999

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 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

Contact information

FINRA licenses (15 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags