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Stephen R. Naughton

CITADEL SECURITIES LLC
New York, NY 10006
Some features on this profile are disabled
CRD#: 4324565
SN

Professional summary

Stephen Robert Naughton is a registered financial professional currently at CITADEL SECURITIES LLC located in New York, New York.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2000. Stephen has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 7, Series 21 and Series 25 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 Stephen Robert Naughton'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

May 23, 2016 - Present

CITADEL SECURITIES LLC

Office #1: 140 Broadway Street 29th Floor, New York, NY 10006
BD
CRD#: 116797
New York, NY
Past

August 6, 2012 - August 10, 2012

GETCO SECURITIES, LLC

BD
CRD#: 151233
CHICAGO, IL
Past

July 2, 2012 - May 26, 2016

VIRTU AMERICAS LLC

BD
CRD#: 149823
NEW YORK, NY
Past

January 3, 2011 - July 2, 2012

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
JERSEY CITY, NJ
Past

December 3, 2007 - January 3, 2011

KELLOGG CAPITAL MARKETS, LLC

BD
CRD#: 118790
NEW YORK, NY
Past

November 6, 2000 - March 21, 2001

SIG SPECIALISTS, INC.

BD
CRD#: 21831
NEW YORK, NY
Past

November 6, 2000 - December 5, 2007

SIG SPECIALISTS, INC.

BD
CRD#: 21831
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
Alabama
(11/25/2019)
RR
Alaska
(11/25/2019)
RR
California
(11/25/2019)
RR
Florida
(10/8/2019)
RR
Louisiana
(10/8/2019)
RR
Michigan
(11/25/2019)
RR
Montana
(11/25/2019)
RR
New York
(11/25/2019)
RR
Pennsylvania
(11/25/2019)
RR
Puerto Rico
(10/8/2019)
RR
Rhode Island
(11/25/2019)
RR
Texas
(11/25/2019)
RR
Virginia
(11/25/2019)
RR
Washington
(11/25/2019)
RR
Wyoming
(11/25/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 11/25/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/21/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 21
Date: 5/21/2002
NYSE Front Line Specialist Clerk
General Industry/Product Exam
RR
Series 25
Date: 7/9/2001
NYSE Trading Assistant Examination
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

CS
CITADEL SECURITIES LLC
CITADEL DERIVATIVES GROUP LLC | CITADEL SECURITIES LLC

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

BD
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)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CSHC US LLCOWNER
ZHAO, PENGCHIEF EXECUTIVE OFFICER4978269
CITADEL SECURITIES GROUP LP (FKA CALC IV LP)MANAGING MEMBER
HAROLD, MARC RYANCHIEF COMPLIANCE OFFICER3200916
HENRY, STEVEN MICHAELCHIEF ACCOUNTING OFFICER5587809

Disclosures

Regulatory Event75
Arbitration1

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

CITADEL SECURITIES LLC

CRD#: 116797New York, NY 10006

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