Timothy P. Dunham
Professional summary
Timothy Philip Dunham, who also goes by Tim Dunham, is a registered financial professional currently at CLEAR STREET LLC located in New York, New York.
Timothy is registered as a RR (Registered Representative) and started their career in finance in 1982. Timothy has worked at 16 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Timothy Philip Dunham's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 6, 2018 - Present
CLEAR STREET LLC
Office #1: 4 World Trade Center 150 Greenwich Street 45th Floor, New York, NY, 10007September 3, 2020 - October 7, 2022
PRECISION SECURITIES, LLC
November 6, 2018 - April 15, 2024
SUMMIT SECURITIES GROUP LLC
July 22, 2009 - November 5, 2018
VIRTU AMERICAS LLC
February 13, 2008 - October 21, 2008
EDGETRADE LLC
September 26, 2007 - December 31, 2010
KNIGHT DIRECT LLC
September 22, 2005 - September 26, 2007
DE ROUTE
August 30, 2004 - December 31, 2010
KNIGHT CAPITAL MARKETS LLC
June 1, 2004 - November 8, 2012
KNIGHT CAPITAL AMERICAS, L.P.
October 29, 1997 - June 3, 2004
SOUNDVIEW TECHNOLOGY CORPORATION
May 20, 1994 - October 24, 1997
MIDWOOD SECURITIES, INC.
October 2, 1991 - May 17, 1994
GLOBAL PARTNERS SECURITIES INC.
May 29, 1990 - September 10, 1991
JJC SECURITIES CO., INC.
October 8, 1985 - August 6, 1991
JSC SECURITIES, INC.
February 19, 1985 - October 15, 1985
MORGAN STANLEY DW INC.
November 5, 1982 - January 17, 1985
SECURITIES SETTLEMENT CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(2/21/2019)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
MIAX PEARL, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq Stock Market
New York Stock Exchange
Current Firm
CLEAR STREET LLC
CRD#: 288933 / SEC#: , 8-69972
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLEAR STREET HOLDINGS LLC | SOLE CLASS A MEMBER | |
| AUSUBEL, ELLI MARK | DIRECTOR | 5715145 |
| COHEN, URIEL EPHRAIM | DIRECTOR | 4089765 |
| HAMMERICH, DALF PAUL | HEAD OF SUPPORT | 4710381 |
| MOCCIA, CHRISTY NOEL | CHIEF COMPLIANCE OFFICER | 4855629 |
| OLIVEIRA, BRIAN | CFO/FINOP/PRINCIPAL FINANCIAL OFFICER | 5371120 |
| SICKLICK, KENNETH | DIRECTOR | 7418830 |
| VOLZ, ANDREW | DIRECTOR, CHIEF EXECUTIVE OFFICER | 4808674 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 1 |
Red Flags
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