# INSTINET, LLC

INSTINET, LLC of NEW YORK, NY is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 7897
- Type: SEC-registered investment adviser
- SEC file number: 801-108490
- Location: 309 WEST 49TH STREET, NEW YORK, NY, 10019
- Phone: 212-310-4431
- Latest filing: 2026-06-23
- Clients: 87

## Business model

- Compensation: Other
- Clients served: Other

## Officers, owners & control persons (27)

_Showing 25 of 27 people._

| Name | Role | Location |
| --- | --- | --- |
| [Faron Ross Webb](https://search.stillhousedata.com/person/664144) | GENERAL COUNSEL | — |
| [Alice M Kenniff](https://search.stillhousedata.com/person/664145) | ASSOCIATE GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISER) | — |
| [Julie Marie Siskovic](https://search.stillhousedata.com/person/664146) | CHIEF COMPLIANCE OFFICER (BROKER-DEALER, CBOE/C2) | — |
| [Christy E Schaffner](https://search.stillhousedata.com/person/664147) | PRINCIPAL FINANCIAL OFFICER | — |
| [Eugene James Chiulli](https://search.stillhousedata.com/person/664148) | CHIEF FINANCIAL OFFICER | — |
| [Gerard Thomas Milligan](https://search.stillhousedata.com/person/664149) | PRESIDENT | — |
| [Randi J Cone](https://search.stillhousedata.com/person/664150) | CHIEF COMPLIANCE OFFICER | — |
| [William Francis Jr Hughes](https://search.stillhousedata.com/person/664151) | HEAD OF OPERATIONS | — |
| [Luke Mauro](https://search.stillhousedata.com/person/682949) | HEAD OF OPERATIONS | — |
| [SISKOVIC JULIE MARIE](https://search.stillhousedata.com/person/781200) | CHIEF COMPLIANCE OFFICER (BROKER-DEALER, CBOE/C2) | — |
| [ROBERTS JOE ROBERT JR](https://search.stillhousedata.com/person/788658) | CHIEF EXECUTIVE OFFICER | — |
| [WEBB FARON ROSS](https://search.stillhousedata.com/person/812298) | GENERAL COUNSEL | — |
| [CHIULLI EUGENE JAMES](https://search.stillhousedata.com/person/836265) | CHIEF FINANCIAL OFFICER | — |
| [MAURO LUKE](https://search.stillhousedata.com/person/838525) | HEAD OF OPERATIONS | — |
| [CHIARAMONTE MARC ANTHONY](https://search.stillhousedata.com/person/838526) | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER OF INSTINET BD | — |
| [RICHMOND LAURE E](https://search.stillhousedata.com/person/838527) | CHIEF FINANCIAL OFFICER | — |
| [GOVONI MARK JAMES](https://search.stillhousedata.com/person/838528) | PRESIDENT | — |
| [KENNIFF ALICE M](https://search.stillhousedata.com/person/838529) | ASSOCIATE GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER (INVESTMENT ADVISER); CHIEF COMPLIANCE OFFICER OF INSTINET ADV | — |
| [HALPIN IRENE ANN](https://search.stillhousedata.com/person/846783) | ASSOCIATE GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER ( BROKER DEALER, NON-CBOE/C2) AND ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | — |
| [ULZ CHRISTOPHER PETER](https://search.stillhousedata.com/person/846784) | CHIEF COMPLIANCE OFFICER (BROKER-DEALER, CBOE/C2) | — |
| [PATTI LEONARD WILLIAM](https://search.stillhousedata.com/person/848613) | DEPUTY ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | — |
| [SIERADZKI DAVID SETH](https://search.stillhousedata.com/person/863747) | ASSOCIATE GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER (BROKER DEALER, NON-CBOE/C2); ASSOCIATE GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER (BROKER DEALER, NON-CBOE/C2) AND ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | — |
| [PRATNICKI GREG](https://search.stillhousedata.com/person/871422) | ANTI - MONEY LAUNDERING COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER | — |
| [WHELAN THOMAS WILLIAM](https://search.stillhousedata.com/person/879359) | PRESIDENT | — |
| [MILLIGAN GERARD](https://search.stillhousedata.com/person/883638) | PRESIDENT | — |


## Disclosures (180)

_Showing 10 of 55 distinct disclosure events._

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2018-04-11 | regulatory | ALLEGED NON-COMPLIANCE WITH A CERTAIN SYSTEM OF RISK MANAGEMENT CONTROLS AND EXCHANGE RULES CONSISTING OF DEFINITIONAL REQUIREMENTS AND RELATED SUPERVISION. | Final | $75K |
| 2018-04-11 | regulatory | ALLEGED NON-COMPLIANCE WITH A CERTAIN SYSTEM OF RISK MANAGEMENT CONTROLS ANDEXCHANGE RULES CONSISTING OF DEFINITIONAL REQUIREMENTS AND RELATED SUPERVISION. | Final | $20K |
| 2018-04-11 | regulatory | ALLEGED NON-COMPLIANCE WITH A CERTAIN SYSTEM OF RISK MANAGEMENT CONTROLS AND EXCHANGE RULES CONSISTING OF DEFINITIONAL REQUIREMENTS AND RELATED SUPERVISION. | Final | $60K |
| 2018-04-11 | regulatory | ALLEGED NON-COMPLIANCE WITH A CERTAIN SYSTEM OF RISK MANAGEMENT CONTROLS AND EXCHANGE RULES CONSISTING OF DEFINITIONAL REQUIREMENTS AND RELATED SUPERVISION. | Final | $67K |
| 2018-04-11 | regulatory | ALLEGED NON-COMPLIANCE WITH A CERTAIN SYSTEM OF RISK MANAGEMENT CONTROLS AND EXCHANGE RULES CONSISTING OF DEFINITIONAL REQUIREMENTS AND RELATED SUPERVISION. | Final | $190K |
| 2018-04-11 | regulatory | ALLEGED NON-COMPLIANCE WITH A CERTAIN SYSTEM OF RISK MANAGEMENT CONTROLS AND EXCHANGE RULES CONSISTING OF DEFINITIONAL REQUIREMENTS AND RELATED SUPERVISION. | Final | $7K |
| 2018-04-11 | regulatory | ALLEGED NON-COMPLIANCE WITH A CERTAIN SYSTEM OF RISK MANAGEMENT CONTROLS AND EXCHANGE RULES CONSISTING OF DEFINITIONAL REQUIREMENTS AND RELATED SUPERVISION. | Final | $276K |
| 2018-04-11 | regulatory | ALLEGED NON-COMPLIANCE WITH A CERTAIN SYSTEM OF RISK MANAGEMENT CONTROLS AND EXCHANGE RULES CONSISTING OF DEFINITIONAL REQUIREMENTS AND RELATED SUPERVISION. | Final | $77K |
| 2018-04-11 | regulatory | ALLEGED NON-COMPLIANCE WITH A CERTAIN SYSTEM OF RISK MANAGEMENT CONTROLS AND EXCHANGE RULES CONSISTING OF DEFINITIONAL REQUIREMENTS AND RELATED SUPERVISION. | Final | $60K |
| 2018-03-07 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTS TO THE SACTIONS AND TO THE ENTRY OF THE FINDINGS THAT IT WAS NON-COMPLIANT WITH WITH A CERTAIN SYSTEM OF RISK MANAGEMENT CONTROLS AND EXCHANGE RULES CONSISTING OF DEFINITIONAL REQUIREMENTS AND RELATED SUPERVISION. | Final | $124K |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/7897/brochure
- Similar advisers: https://search.stillhousedata.com/firm/7897/similar
- Related entities: https://search.stillhousedata.com/firm/7897/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/7897

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.