Denise L. Fiacco
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Denise Lynn Fiacco, who also goes by Denise L Fiacco, Denise L Shelley, Denise Lynn Shelley, was a registered financial professional .
Denise is a previously registered financial professional and started their career in finance in 2005. Denise had worked at 7 firms and has passed the Series 63, SIE, Series 3, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2018 - November 13, 2018
INSTINET, LLC
December 16, 2016 - August 31, 2017
VIRTU AMERICAS LLC
October 16, 2013 - October 28, 2016
CANTOR FITZGERALD & CO.
August 10, 2012 - October 7, 2013
VIRTU AMERICAS LLC
October 4, 2010 - August 21, 2012
CITIGROUP GLOBAL MARKETS INC.
December 1, 2009 - October 1, 2010
CREDIT SUISSE SECURITIES (USA) LLC
July 5, 2007 - July 15, 2009
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
December 7, 2005 - July 5, 2007
GOLDMAN SACHS & CO. LLC
Primary Firm SEC Registration
INSTINET, LLC
CRD#: 7897 / SEC#: 801-108490, 8-23669
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 3/20/2006
Limited Representative-Equity Trader ExamCurrent Firm
INSTINET, LLC
CRD#: 7897 / SEC#: 801-108490, 8-23669
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSTINET HOLDINGS INCORPORATED | DIRECT OWNER | |
| CHIULLI, EUGENE JAMES | CHIEF FINANCIAL OFFICER | 2976702 |
| CONE, RANDI J | CHIEF COMPLIANCE OFFICER | 4811453 |
| KENNIFF, ALICE M | ASSOCIATE GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISER) | 5615714 |
| MAURO, LUKE | HEAD OF OPERATIONS | 4188932 |
| MILLIGAN, GERARD THOMAS | PRESIDENT | 2907544 |
| SCHAFFNER, CHRISTY E | PRINCIPAL FINANCIAL OFFICER | 2710171 |
| SISKOVIC, JULIE MARIE | CHIEF COMPLIANCE OFFICER (BROKER-DEALER, CBOE/C2) | 1385048 |
| WEBB, FARON ROSS | GENERAL COUNSEL | 2452057 |
Disclosures
| Regulatory Event | 63 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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