Paul R. Stegmann
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Paul Robert Stegmann was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1985. Paul had worked at 8 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2022 - September 27, 2023
CLEAR STREET LLC
January 2, 2013 - May 17, 2021
TD PRIME SERVICES LLC
July 10, 2009 - September 12, 2011
CREDIT AGRICOLE SECURITIES (USA) INC.
May 21, 2004 - June 22, 2009
MF GLOBAL INC.
November 10, 1997 - April 9, 2004
APEX CLEARING CORPORATION
March 8, 1993 - December 9, 1997
SHELBY CULLOM DAVIS & CO., L.P.
June 29, 1992 - January 5, 1993
MORGAN STANLEY & CO. LLC
January 23, 1985 - July 7, 1992
PRUDENTIAL EQUITY GROUP, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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