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Garrett S. Modlin

OPTIVER EXECUTION SERVICES LLC
New York, NY 10010
Some features on this profile are disabled
CRD#: 7572416
GM

Professional summary

Garrett Scott Modlin is a registered financial professional currently at OPTIVER EXECUTION SERVICES LLC located in New York, New York.

Garrett is registered as a RR (Registered Representative) and started their career in finance in 2024. Garrett has worked at 2 firms and has passed the Series 7TO, SIE and Series 4 exams.

top-8-questions

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 Garrett Scott Modlin'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

November 12, 2024 - Present

OPTIVER EXECUTION SERVICES LLC

Office #1: 360 Park Avenue South Suite 1200, New York, NY 10010
BD
CRD#: 316308
New York, NY
Past

November 11, 2024 - November 12, 2024

OPTIVER US LLC

BD
CRD#: 128030
CHICAGO, IL

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 7TO
Date: 11/11/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/3/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 4
Date: 12/19/2024
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

OE
OPTIVER EXECUTION SERVICES LLC
OPTIVER EXECUTION SERVICES LLC

CRD#: 316308 / SEC#: , 8-70932

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
130 E Randolph Street Suite 800, Chicago, IL 60601
Mailing Address
130 E Randolph Street Suite 800, Chicago, IL 60601
Phone number
(312) 821-9500
Established
Illinois since 07/29/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# 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#
OPTIVER VENTURES PARTNERSHIP US LPPARENT COMPANY
COLEMAN, KEVIN PAULCHIEF COMPLIANCE OFFICER6254324
DEATON, MICHAEL WILLIAMCHIEF FINANCIAL OFFICER2964800
LEES, JUSTIN TERENCEHEAD OF SALES TRADING6077317
WADE, ASHLEY KFINOP6588506

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

OPTIVER EXECUTION SERVICES LLC

CRD#: 316308New York, NY 10010

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