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Divya Singhal

CRD# 5345803·Registered 2011 - 2019
Previously Registered: Being a previously registered professional could mean that Divya 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.

Professional Summary

Divya Singhal was a registered financial advisor. Divya was a previously registered financial professional and started their career in finance 2011 - 2019. Divya had worked at 3 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

15 years in the financial services industry

Current & Past Employments

CITADEL CLEARING LLC·CRD# 172693
BD
Miami, FL
May 13, 2015 - September 23, 2019
CITADEL SECURITIES LLC·CRD# 116797
BD
Miami, FL
December 3, 2014 - September 23, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED·CRD# 7691
BD
New York, NY
August 22, 2011 - October 30, 2014

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Current Firm

CC
CITADEL CLEARING LLC

CITADEL CLEARING LLC

CRD#: 172693 / SEC#: 8-69521
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)

Contact Information

Main Address

830 Brickell Plaza Floor 15, Miami, FL 33131

Mailing Address

830 Brickell Plaza, Miami, FL 33131

Phone Number

(305) 929-6851

Established

Delaware since 07/18/2014

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
CCLC HOLDINGS LLCOWNER—
CARROLL, SEAN VINCENTCHIEF EXECUTIVE OFFICER AND PRINCIPAL OPERATIONS OFFICER2518443
CLP HOLDINGS SIX LLCMANAGING MEMBER—
HENRY, STEVEN MICHAELCHIEF ACCOUNTING OFFICER AND FINOP5587809
SAHADI, NICHOLAS MITCHELLCHIEF COMPLIANCE OFFICER4044856

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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

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 2011About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 55 — Limited Representative-Equity Trader Exam

Passed Sep 2011

Series 7 — General Securities Representative Examination

Passed Aug 2011About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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