Mathew E. Epstein

CITADEL SECURITIES LLC

New York, NY 10022

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CRD#: 4637420

Professional summary

Mathew Ethan Epstein, who also goes by Matthew Ethan Epstein, is a registered financial professional currently at CITADEL SECURITIES LLC located in New York, New York and CITADEL SECURITIES INSTITUTIONAL LLC located in New York, New York.

Mathew is registered as a RR (Registered Representative) and started their career in finance in 2003. Mathew has worked at 6 firms and has passed the Series 63, Series 52TO, Series 57TO, SIE, Series 55, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Matthew Ethan Epstein

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 Mathew Ethan Epstein'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

October 27, 2016 - Present

CITADEL SECURITIES LLC

Office #1: 350 Park Avenue 10th Floor, New York, NY 10022

CRD#: 116797

New York, NY

Current

August 26, 2025 - Present

CITADEL SECURITIES INSTITUTIONAL LLC

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

CRD#: 281102

New York, NY

Current

August 26, 2025 - Present

CITADEL CLEARING LLC

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

CRD#: 172693

New York, NY

Current

August 26, 2025 - Present

PALAFOX TRADING LLC

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

CRD#: 131114

New York, NY

Past

March 27, 2014 - August 5, 2016

HSBC SECURITIES (USA) INC.

CRD#: 19585

NEW YORK CITY, NY

Past

February 11, 2014 - March 3, 2014

SEAPORT GLOBAL SECURITIES LLC

CRD#: 116270

NEW YORK, NY

Past

June 23, 2003 - January 31, 2014

SEAPORT GLOBAL SECURITIES LLC

CRD#: 116270

NEW YORK, 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
(10/27/2016)

Exams

State Security Law Exam

Series 63

Date: 7/1/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative 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: 12/22/2011

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 6/20/2003

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 9/17/2003

Municipal 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

MIAX Emerald, 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 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

PALAFOX TRADING LLC

CRD#: 131114 / SEC#: , 8-66420

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 01/16/2004

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
PALAFOX HOLDCO LLC	MEMBER
CARROLL, SEAN VINCENT	CHIEF EXECUTIVE OFFICER	2518443
CARROLL, SEAN VINCENT	CHIEF COMPLIANCE OFFICER	2518443
CITADEL ADVISORS LLC	MANAGER
HENRY, STEVEN MICHAEL	CHIEF ACCOUNTING OFFICER	5587809

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

Mathew E. Epstein

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mathew Ethan Epstein's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITADEL SECURITIES INSTITUTIONAL LLC

CITADEL CLEARING LLC

PALAFOX TRADING LLC

HSBC SECURITIES (USA) INC.

SEAPORT GLOBAL SECURITIES LLC

SEAPORT GLOBAL SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 7/1/2003

Series 52TO

Date: 1/2/2023

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 12/22/2011

Series 7

Date: 6/20/2003

Series 53

Date: 9/17/2003

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

MIAX Emerald, LLC

MIAX Sapphire

Miami International Securities Exchange, LLC

NYSE American LLC

NYSE Arca, 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

PALAFOX TRADING LLC

Contact information

Documents

Direct owners and executive officers

Red Flags

Company Information

PALAFOX TRADING LLC

TRUST BUT VERIFY

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