Thomas G. Kern

CITADEL SECURITIES INSTITUTIONAL LLC

New York, NY 10022

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CRD#: 5539427

Professional summary

Thomas Griffin Kern Jr, who also goes by Thomas Griffin Kern Jr, Thomas Griffin Kern, is a registered financial professional currently at CITADEL SECURITIES INSTITUTIONAL LLC located in New York, New York and CITADEL SECURITIES LLC located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2009. Thomas has worked at 4 firms and has passed the Series 63, Series 57TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas Griffin Kern Jr | Thomas Griffin Kern

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 Thomas Griffin Kern Jr'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

April 23, 2025 - Present

CITADEL SECURITIES INSTITUTIONAL LLC

Office #1: 425 Park Avenue, New York, NY 10022

CRD#: 281102

New York, NY

Current

April 23, 2025 - Present

CITADEL SECURITIES LLC

Office #1: 425 Park Avenue, New York, NY 10022

CRD#: 116797

New York, NY

Past

November 12, 2010 - April 6, 2025

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

October 19, 2009 - May 17, 2010

RAFFERTY CAPITAL MARKETS, LLC

CRD#: 23682

GARDEN CITY, 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

Alabama
(4/23/2025)

Alaska
(4/23/2025)

California
(4/23/2025)

Florida
(4/23/2025)

Illinois
(4/23/2025)

Indiana
(4/23/2025)

Louisiana
(4/23/2025)

Michigan
(4/23/2025)

Montana
(4/23/2025)

New York
(4/23/2025)

Ohio
(4/23/2025)

Pennsylvania
(4/23/2025)

Puerto Rico
(4/23/2025)

Rhode Island
(4/23/2025)

Texas
(4/23/2025)

Virginia
(4/23/2025)

Washington
(4/23/2025)

West Virginia
(7/31/2025)

Wyoming
(4/23/2025)

Exams

State Security Law Exam

Series 63

Date: 1/24/2011

Uniform Securities Agent State Law 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 7

Date: 10/15/2009

General Securities Representative 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

Long-Term Stock Exchange, Inc.

SRO Registrations

MEMX LLC

SRO Registrations

MIAX Emerald, LLC

SRO Registrations

MIAX PEARL, 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 National, 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

CITADEL SECURITIES LLC

CITADEL DERIVATIVES GROUP LLC | CITADEL SECURITIES LLC

CRD#: 116797 / SEC#: , 8-53574

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 07/30/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (15 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CSHC US LLC	OWNER
ZHAO, PENG	CHIEF EXECUTIVE OFFICER	4978269
CITADEL SECURITIES GROUP LP (FKA CALC IV LP)	MANAGING MEMBER
HAROLD, MARC RYAN	CHIEF COMPLIANCE OFFICER	3200916
HENRY, STEVEN MICHAEL	CHIEF ACCOUNTING OFFICER	5587809

Disclosures

Regulatory Event	75
Arbitration	1

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

Thomas G. Kern

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Griffin Kern Jr's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITADEL SECURITIES LLC

J.P. MORGAN SECURITIES LLC

RAFFERTY CAPITAL MARKETS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/24/2011

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 10/15/2009

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

Long-Term Stock Exchange, Inc.

MEMX LLC

MIAX Emerald, LLC

MIAX PEARL, LLC

MIAX Sapphire

Miami International Securities Exchange, LLC

NYSE American LLC

NYSE Arca, Inc.

NYSE National, 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

CITADEL SECURITIES LLC

Contact information

FINRA licenses (15 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CITADEL SECURITIES LLC

TRUST BUT VERIFY

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