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Angela R. Vinci

Some features on this profile are disabled
CRD#: 5953474
AV

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.

Angela Rae Vinci, who also goes by Angela VInci, was a registered financial professional .

Angela is a previously registered financial professional and started their career in finance in 2021. Angela had worked at 5 firms and has passed the Series 63, Series 99TO, Series 7TO, SIE, Series 14, Series 27, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Angela Vinci

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)

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

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

Past

November 1, 2023 - February 9, 2024

PALAFOX TRADING LLC

BD
CRD#: 131114
New York, NY
Past

November 1, 2023 - February 9, 2024

CITADEL CLEARING LLC

BD
CRD#: 172693
New York, NY
Past

November 1, 2023 - July 16, 2025

CITADEL SECURITIES LLC

BD
CRD#: 116797
NEW YORK, NY
Past

November 1, 2023 - July 16, 2025

CITADEL SECURITIES INSTITUTIONAL LLC

BD
CRD#: 281102
New York, NY
Past

May 28, 2021 - June 9, 2023

Z-SQUARED SECURITIES, LLC

BD
CRD#: 309321
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/15/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/28/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 4/9/2021
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 27
Date: 6/14/2022
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 3/4/2022
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/25/2022
General Securities Principal Examination

Current Firm

PT
PALAFOX TRADING LLC
PALAFOX TRADING LLC

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

BD
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

NamePositionCRD#
PALAFOX HOLDCO LLCMEMBER
CARROLL, SEAN VINCENTCHIEF EXECUTIVE OFFICER2518443
CARROLL, SEAN VINCENTCHIEF COMPLIANCE OFFICER2518443
CITADEL ADVISORS LLCMANAGER
HENRY, STEVEN MICHAELCHIEF ACCOUNTING OFFICER5587809

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.

Company Information

PALAFOX TRADING LLC

CRD#: 131114

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