RS
Roman Szul
CITADEL SECURITIES INSTITUTIONAL LLC
New York, NY 10022
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CRD#: 6964124
RS
Professional summary
Roman Szul, who also goes by Roman Andrew Szul, is a registered financial professional currently at CITADEL SECURITIES INSTITUTIONAL LLC located in New York, New York and CITADEL CLEARING LLC located in New York, New York.
Roman is registered as a RR (Registered Representative) and started their career in finance in 2019. Roman has worked at 6 firms and has passed the Series 63, Series 99TO, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Roman Andrew Szul
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.
CRS (Client Relationship Summary) - BD
Click below to view Roman Szul'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®
NoneExperience
Current
December 7, 2021 - Present
CITADEL SECURITIES INSTITUTIONAL LLC
Office #1: 350 Park Avenue, New York, NY 10022BD
CRD#: 281102
New York, NY
Current
December 7, 2021 - Present
CITADEL CLEARING LLC
Office #1: 350 Park Avenue, New York, NY 10022BD
CRD#: 172693
New York, NY
Current
December 7, 2021 - Present
CITADEL SECURITIES LLC
Office #1: 350 Park Avenue 10th Floor, New York, NY 10022BD
CRD#: 116797
New York, NY
Past
December 7, 2021 - July 23, 2024
PALAFOX TRADING LLC
BD
CRD#: 131114
New York, NY
Past
October 24, 2019 - November 29, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
August 15, 2019 - November 29, 2021
BOFA SECURITIES, INC.
BD
CRD#: 283942
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
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
RR
Alabama(12/7/2021)
RR
Alaska(12/7/2021)
RR
California(12/7/2021)
RR
Florida(12/7/2021)
RR
Illinois(12/7/2021)
RR
Indiana(12/7/2021)
RR
Louisiana(12/7/2021)
RR
Michigan(12/7/2021)
RR
Montana(12/7/2021)
RR
New York(12/7/2021)
RR
Ohio(12/7/2021)
RR
Pennsylvania(12/7/2021)
RR
Puerto Rico(12/7/2021)
RR
Rhode Island(12/7/2021)
RR
Texas(12/7/2021)
RR
Virginia(12/7/2021)
RR
Washington(12/7/2021)
RR
West Virginia(2/14/2022)
RR
Wyoming(12/7/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2025
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 8/15/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
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
Long-Term Stock Exchange, Inc.
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
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, 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
New York Stock Exchange
Current Firm
CS
CITADEL SECURITIES LLC
CITADEL DERIVATIVES GROUP LLC | CITADEL SECURITIES LLC
CRD#: 116797 / SEC#: , 8-53574
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 07/30/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (15 States and Territories)
Documents
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.
