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JM

James M. Moore

CITADEL SECURITIES INSTITUTIONAL
London, EC2Y 5 ET
Some features on this profile are disabled
CRD#: 7094530
JM

Professional summary

James Malcolm Moore is a registered financial professional currently at CITADEL SECURITIES INSTITUTIONAL LLC and CITADEL SECURITIES LLC .

James is registered as a RR (Registered Representative) and started their career in finance in 2019. James has worked at 4 firms and has passed the SIE and Series 99TO 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 James Malcolm Moore'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, 2019 - Present

CITADEL SECURITIES INSTITUTIONAL LLC

Office #1: 120 London Wall, London, EC2Y 5 ET
BD
CRD#: 281102
London,
Current

August 2, 2019 - Present

CITADEL SECURITIES LLC

Office #1: 120 London Wall, London, EC2Y 5 ET
BD
CRD#: 116797
London,
Past

August 2, 2019 - February 9, 2024

PALAFOX TRADING LLC

BD
CRD#: 131114
MIAMI, FL
Past

August 2, 2019 - February 9, 2024

CITADEL CLEARING LLC

BD
CRD#: 172693
MIAMI, FL

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
SIE
Date: 8/2/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99TO
Date: 5/16/2019
Operations Professional Examination
SRO Registrations
RR
FINRA

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)
PREMIUM
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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)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CSHC US LLCOWNER
ZHAO, PENGCHIEF EXECUTIVE OFFICER4978269
CITADEL SECURITIES GROUP LP (FKA CALC IV LP)MANAGING MEMBER
HAROLD, MARC RYANCHIEF COMPLIANCE OFFICER3200916
HENRY, STEVEN MICHAELCHIEF ACCOUNTING OFFICER5587809

Disclosures

Regulatory Event75
Arbitration1

Red Flags

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Company Information

CITADEL SECURITIES LLC

CRD#: 116797London, EC2Y 5 ET

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