Carl Joseph Vallese
Professional Summary
Carl Joseph Vallese is a registered financial advisor currently at TWO SIGMA SECURITIES, LLC located in New York, New York and TWO SIGMA EXECUTION SERVICES, LLC located in New York, New York. Carl is registered as a RR (Registered Representative) and started their career in finance in 2001. Carl has worked at 7 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 21, Series 25, Series 55, Series 7, Series 14...
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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Years of Experience
25 years in the financial services industry
Current & Past Employments
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Current Firm
TWO SIGMA EXECUTION SERVICES, LLC
Contact Information
Main Address
100 Avenue Of The Americas 2nd Floor, New York, NY 10013Mailing Address
100 Avenue Of The Americas 2nd Floor, New York, NY 10013Phone Number
(212) 625-5700Established
Delaware since 06/01/2023Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (1 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TWO SIGMA SECURITIES GROUP HOLDINGS, LLC | SOLE MEMBER | — |
| LENTERMAN, REMCO OSCAR | CHIEF EXECUTIVE OFFICER | 2270233 |
| LUBETSKY, JASON MATTHEW | FINOP, CFO, AND PRINCIPAL FINANCIAL OFFICER | 4012781 |
| VALLESE, CARL JOSEPH | CHIEF COMPLIANCE OFFICER | 4464191 |
| VIADRO, DIMITRI | COO AND PRINCIPAL OPERATIONS OFFICER | 5027346 |
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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
(6/13/2017)
(7/19/2012)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 21 — NYSE Front Line Specialist Clerk
Passed Jun 2003Series 25 — NYSE Trading Assistant Examination
Passed Nov 2002Series 55 — Limited Representative-Equity Trader Exam
Passed Dec 2001SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Carl Joseph Vallese's CRS (Customer Relationship Summary).
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