CV
Carl J. Vallese
TWO SIGMA SECURITIES
New York, NY 10013
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CRD#: 4464191
CV
Professional summary
Carl Joseph Vallese is a registered financial professional 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 and Series 24 exams.
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.
CRS (Client Relationship Summary) - BD
Click below to view Carl Joseph Vallese'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®
NoneExperience
Current
July 19, 2012 - Present
TWO SIGMA SECURITIES, LLC
Office #1: 100 Avenue Of The Americas 2nd Floor, New York, NY 10013Office #2: 100 Avenue Of The Americas 2nd Floor, New York, NY 10013BD
CRD#: 148960
New York, NY
Current
April 2, 2024 - Present
TWO SIGMA EXECUTION SERVICES, LLC
Office #1: 100 Avenue Of The Americas 2nd Floor, New York, NY 10013Office #2: 100 Avenue Of The Americas 2nd Floor, New York, NY 10013BD
CRD#: 327341
New York, NY
Past
May 10, 2010 - July 11, 2012
CITADEL SECURITIES LLC
BD
CRD#: 116797
NEW YORK, NY
Past
December 23, 2009 - April 21, 2010
COMMERZ MARKETS LLC
BD
CRD#: 41957
NEW YORK, NY
Past
April 13, 2004 - December 19, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
March 14, 2002 - April 1, 2004
REDI GLOBAL TECHNOLOGIES LLC
BD
CRD#: 41924
NEW YORK, NY
Past
November 9, 2001 - April 1, 2004
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
BD
CRD#: 3466
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
Connecticut(6/13/2017)
RR
New York(7/19/2012)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 21
Date: 6/26/2003
NYSE Front Line Specialist ClerkGeneral Industry/Product Exam
RR
Series 25
Date: 11/7/2002
NYSE Trading Assistant ExaminationGeneral Industry/Product Exam
RR
Series 55
Date: 12/6/2001
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, 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
TS
TWO SIGMA EXECUTION SERVICES, LLC
TWO SIGMA EXECUTION SERVICES, LLC
CRD#: 327341 / SEC#: , 8-71128
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
100 Avenue Of The Americas 2nd Floor, New York, NY 10013
Mailing Address
100 Avenue Of The Americas 2nd Floor, New York, NY 10013
Phone number
(212) 625-5700
Established
Delaware since 06/01/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (1 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 |
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.
