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AO

Ali Ozler

SUSQUEHANNA SECURITIES
New York, NY 10001
Some features on this profile are disabled
CRD#: 5967842
AO

Professional summary

Ali Ozler is a registered financial professional currently at SUSQUEHANNA SECURITIES, LLC located in New York, New York and SIG BROKERAGE, LP located in New York, New York.

Ali is registered as a RR (Registered Representative) and started their career in finance in 2011. Ali has worked at 3 firms and has passed the Series 57TO, SIE, Series 56 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Ali Ozler'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

August 2, 2018 - Present

SUSQUEHANNA SECURITIES, LLC

Office #1: 30 Hudson Yards 16th Floor, New York, NY 10001
BD
CRD#: 35874
New York, NY
Current

October 21, 2025 - Present

SIG BROKERAGE, LP

Office #1: 30 Hudson Yards 16th Floor, New York, NY 10001
BD
CRD#: 100400
NEW YORK, NY
Past

July 27, 2012 - January 22, 2015

SUSQUEHANNA INVESTMENT GROUP

BD
CRD#: 33875
BALA CYNWYD, PA
Past

August 15, 2011 - January 4, 2018

SUSQUEHANNA SECURITIES, LLC

BD
CRD#: 35874
BALA CYNWYD, PA

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

General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 56
Date: 8/13/2011
Proprietary Trader Qualification Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/19/2022
General Securities Principal Examination
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
Nasdaq Texas, LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

SB
SIG BROKERAGE, LP
SIG BROKERAGE, LP | SUSQUEHANNA BROKERAGE, L.P.

CRD#: 100400 / SEC#: , 8-52028

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
30 Hudson Yards 16th Floor, New York, NY 10001
Mailing Address
401 City Lane Ave, Bala Cynwyd, PA 19004
Phone number
(610) 617-2600
Established
Delaware since 08/19/1999
Firm type
Other Types of Legal Formation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
SIG SPECIALISTS HOLDINGS, INC.LIMITED PARTNER
JAMACA, MELISSAFINOP7478107
RONAN, MICHAEL JAMES JRCHIEF COMPLIANCE OFFICER5824509
RONAN, MICHAEL JAMES JRPRESIDENT5824509
SIG BROKERAGE, LLCGENERAL PARTNER
SIMPSON, MICHAEL ROBERTPOO7521292

Disclosures

Regulatory Event4

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

SIG BROKERAGE, LP

CRD#: 100400New York, NY 10001

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