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RC

Robert E. Cleary

TRADEUP SECURITIES
Roseland, NJ 07068
Some features on this profile are disabled
CRD#: 1299055
RC

Professional summary

Robert Edmund Cleary JR, who also goes by Robert E Cleary Jr, Rob Cleary, is a registered financial professional currently at TRADEUP SECURITIES, INC. located in Roseland, New Jersey.

Robert is registered as a RR (Registered Representative) and started their career in finance in 1989. Robert has worked at 12 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Robert E Cleary Jr | Rob Cleary

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 Robert Edmund Cleary JR's CRS (Customer Relationship Summary).
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 24, 2022 - Present

TRADEUP SECURITIES, INC.

Office #1: 101 Eisenhower Parkway, Roseland, NJ 07068Office #2: 437 Madison Ave 27th Floor, New York, NY 10022
BD
CRD#: 18483
Roseland, NJ
Past

September 28, 2018 - June 27, 2022

STONEX FINANCIAL INC.

BD
CRD#: 45993
NEW YORK, NY
Past

June 8, 2016 - October 1, 2018

MIRAE ASSET SECURITIES (USA) INC.

BD
CRD#: 30679
NEW YORK, NY
Past

August 9, 2011 - June 3, 2016

INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC

BD
CRD#: 131487
NEW YORK, NY
Past

March 16, 2006 - July 18, 2011

COWEN EQUITY FINANCE LP

BD
CRD#: 10019
NEW YORK, NY
Past

December 2, 2003 - March 1, 2006

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

February 1, 2001 - November 28, 2003

NEUBERGER BERMAN BD LLC

BD
CRD#: 2908
NEW YORK, NY
Past

January 1, 1999 - January 10, 2001

CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.

BD
CRD#: 8010
NEW YORK, NY
Past

May 20, 1996 - January 1, 1999

CREDIT AGRICOLE SECURITIES INC.

BD
CRD#: 24051
NEW YORK, NY
Past

December 21, 1995 - May 10, 1996

CREDIT AGRICOLE SECURITIES (USA) INC.

BD
CRD#: 190
NEW YORK, NY
Past

April 30, 1991 - April 7, 1995

INTESA SANPAOLO IMI SECURITIES CORP.

BD
CRD#: 19418
NEW YORK, NY
Past

February 21, 1989 - April 30, 1991

MABON, NUGENT & CO.

BD
CRD#: 2617

State Registrations and Notice Filings

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

RR
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

RR
New Jersey
(6/24/2022)
RR
New York
(6/24/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 8/12/1996
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/10/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/30/2017
General Securities Principal Examination
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
New York Stock Exchange

Current Firm

TS
TRADEUP SECURITIES, INC.
MARSCO INVESTMENT CORPORATION | TRADEUP SECURITIES, INC.

CRD#: 18483 / SEC#: , 8-36754

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

Main Address
437 Madison Ave 27th Floor, New York, NY 10022
Mailing Address
437 Madison Ave 27th Floor, New York, NY 10022
Phone number
(973) 228-2886
Established
New Jersey since 09/03/1986
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TIGER FINTECH HOLDINGS INC.DOMESTIC ENTITY
COHEN, MICHAEL LINDSEYAMLCO2246010
HUANG, LEIBOARD OF DIRECTOR5248191
HUANG, LEICEO5248191
LIANG, CEHEAD OF FINANCE/ PFO7554601
LIU, YOUQINGFINOP/POO/CFO5893930
LUPO, VINCENT JR.CHIEF OPERATIONS OFFICER1478037
YE, GUANWUCCO5985247

Disclosures

Regulatory Event4

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

TRADEUP SECURITIES, INC.

CRD#: 18483Roseland, NJ 07068

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