Mitchel R. Nelson

CLEARPOOL EXECUTION SERVICES

New York, NY 10004

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CRD#: 1191908

Professional summary

Mitchel Ray Nelson is a registered financial professional currently at CLEARPOOL EXECUTION SERVICES, LLC located in New York, New York.

Mitchel is registered as a RR (Registered Representative) and started their career in finance in 1983. Mitchel has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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 Mitchel Ray Nelson'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

June 8, 2016 - Present

CLEARPOOL EXECUTION SERVICES, LLC

Office #1: 17 State Street 38th Floor, New York, NY, 10004

CRD#: 168490

New York, NY

Past

November 7, 2014 - May 31, 2016

T3 TRADING GROUP, LLC

CRD#: 154431

NEW YORK, NY

Past

March 22, 2011 - November 7, 2014

WTS PROPRIETARY TRADING GROUP LLC

CRD#: 148117

NEW YORK, NY

Past

July 14, 1995 - October 13, 2010

KNIGHT CAPITAL AMERICAS, L.P.

CRD#: 38599

JERSEY CITY, NJ

Past

May 24, 1988 - July 20, 1995

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CRD#: 3466

NEW YORK, NY

Past

July 26, 1984 - May 24, 1988

TROSTER SINGER CORPORATION

CRD#: 7441

Past

January 30, 1984 - February 29, 1984

MONVEST SECURITIES, INC.

CRD#: 14013

Past

September 21, 1983 - February 1, 1984

SOUTHEAST SECURITIES OF FLORIDA, INC.

CRD#: 5359

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

New York
(6/9/2017)

Exams

State Security Law Exam

Series 63

Date: 6/9/2017

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 10/8/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 9/17/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/21/1995

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

CLEARPOOL EXECUTION SERVICES, LLC

CRD#: 168490 / SEC#: , 8-69313

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

17 State Street 38th Floor, New York, NY, 10004

Mailing Address

17 State Street 38th Floor, New York, NY, 10004

Phone number

(212) 531-8500

Established

New York since 05/07/2013

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (26 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
BMO FINANCIAL CORP.	SHAREHOLDER
BRICKLEY, THOMAS JOHN	FINOP	3028843
FORLENZA, MICHAEL	PRESIDENT	5886049
WOODWARD, JOEL EDWARD	CHIEF FINANCIAL OFFICER	5467904
YUKILEVICH, DANIEL	CHIEF COMPLIANCE OFFICER	5635481

Disclosures

Regulatory Event

Red Flags

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Firm Stability Insights

Mitchel R. Nelson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mitchel Ray Nelson's CRS (Customer Relationship Summary).

Certified licenses

Experience

T3 TRADING GROUP, LLC

WTS PROPRIETARY TRADING GROUP LLC

KNIGHT CAPITAL AMERICAS, L.P.

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

TROSTER SINGER CORPORATION

MONVEST SECURITIES, INC.

SOUTHEAST SECURITIES OF FLORIDA, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/9/2017

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 10/8/1999

Series 7

Date: 9/17/1983

Series 24

Date: 12/21/1995

FINRA

Current Firm

CLEARPOOL EXECUTION SERVICES, LLC

Contact information

FINRA licenses (26 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CLEARPOOL EXECUTION SERVICES, LLC

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