Mickey M. Schleien

CLEAR STREET LLC

New York, NY 10007

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CRD#: 1529409

Professional summary

Mickey Max Schleien, who also goes by Mickey M Schleien, is a registered financial professional currently at CLEAR STREET LLC located in New York, New York.

Mickey is registered as a RR (Registered Representative) and started their career in finance in 1986. Mickey has worked at 10 firms and has passed the Series 63, SIE, Series 86, Series 87, Series 7, Series 16, Series 3 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Mickey M Schleien

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 Mickey Max Schleien'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

July 15, 2025 - Present

CLEAR STREET LLC

Office #1: 4 World Trade Center 150 Greenwich Street 45th Floor, New York, NY, 10007

CRD#: 288933

New York, NY

Past

March 13, 2007 - July 14, 2025

LADENBURG THALMANN & CO. INC.

CRD#: 505

MIAMI, FL

Past

May 26, 1998 - September 8, 2000

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

September 21, 1995 - May 19, 1998

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

May 26, 1994 - August 28, 1995

JAMES CAPEL INCORPORATED

CRD#: 15390

Past

February 21, 1992 - April 27, 1994

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

February 28, 1990 - February 25, 1992

D. A. CAMPBELL COMPANY INC.

CRD#: 198

LOS ANGELES, CA

Past

October 26, 1989 - March 10, 1990

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

October 26, 1989 - March 10, 1990

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

May 28, 1987 - September 1, 1989

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

July 23, 1986 - April 20, 1987

LEHMAN BROTHERS INC.

CRD#: 7506

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

Alabama
(7/15/2025)

Alaska
(7/15/2025)

Arizona
(7/15/2025)

Arkansas
(7/15/2025)

California
(7/15/2025)

Colorado
(7/15/2025)

Connecticut
(7/15/2025)

Delaware
(7/15/2025)

District of Columbia
(7/15/2025)

Florida
(7/15/2025)

Georgia
(7/15/2025)

Hawaii
(7/15/2025)

Idaho
(7/15/2025)

Illinois
(7/15/2025)

Indiana
(7/15/2025)

Iowa
(7/15/2025)

Kansas
(7/15/2025)

Kentucky
(7/15/2025)

Louisiana
(7/15/2025)

Maine
(7/15/2025)

Maryland
(7/15/2025)

Massachusetts
(7/15/2025)

Michigan
(7/15/2025)

Minnesota
(7/15/2025)

Mississippi
(7/15/2025)

Missouri
(7/15/2025)

Montana
(7/15/2025)

Nebraska
(7/15/2025)

Nevada
(7/15/2025)

New Hampshire
(7/15/2025)

New Jersey
(7/15/2025)

New Mexico
(7/15/2025)

New York
(7/15/2025)

North Carolina
(7/15/2025)

North Dakota
(7/15/2025)

Ohio
(7/16/2025)

Oklahoma
(7/15/2025)

Oregon
(7/15/2025)

Pennsylvania
(7/15/2025)

Puerto Rico
(7/15/2025)

Rhode Island
(7/15/2025)

South Carolina
(7/15/2025)

South Dakota
(7/15/2025)

Tennessee
(7/15/2025)

Texas
(7/15/2025)

Utah
(7/15/2025)

Vermont
(7/15/2025)

Virgin Islands
(7/15/2025)

Virginia
(7/15/2025)

Washington
(7/15/2025)

West Virginia
(7/15/2025)

Wisconsin
(7/15/2025)

Wyoming
(7/15/2025)

Exams

State Security Law Exam

Series 63

Date: 3/19/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 4/11/2007

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 3/26/2007

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 3/12/2007

General Securities Representative Examination

General Industry/Product Exam

Series 16

Date: 8/31/1994

NYSE Supervisory Analyst Examination

General Industry/Product Exam

Series 3

Date: 8/25/1986

National Commodity Futures Examination

Principal/Supervisory Exam

Series 24

Date: 12/14/1994

General Securities Principal Examination

SRO Registrations

BOX Exchange LLC

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe C2 Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

Long-Term Stock Exchange, Inc.

SRO Registrations

MEMX LLC

SRO Registrations

MIAX Emerald, LLC

SRO Registrations

MIAX PEARL, LLC

SRO Registrations

MIAX Sapphire

SRO Registrations

Miami International Securities Exchange, LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

NYSE National, Inc.

SRO Registrations

NYSE Texas, Inc.

SRO Registrations

Nasdaq BX, Inc.

SRO Registrations

Nasdaq GEMX, LLC

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq MRX, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

CLEAR STREET LLC

CENTERPOINT SECURITIES | GLOBECS, LLC | CLEAR STREET, LLC | CLEAR STREET LLC | CLEAR STREET FUTURES

CRD#: 288933 / SEC#: , 8-69972

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

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Contact information

Main Address

4 World Trade Center 150 Greenwich Street 45th Floor, New York, NY, 10007

Mailing Address

4 World Trade Center 150 Greenwich Street 45th Floor, New York, NY, 10007

Phone number

(646) 738-4066

Established

Delaware since 12/20/2016

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

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.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Mickey M. Schleien

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mickey Max Schleien's CRS (Customer Relationship Summary).

Certified licenses

Experience

LADENBURG THALMANN & CO. INC.

LEHMAN BROTHERS INC.

UBS SECURITIES LLC

JAMES CAPEL INCORPORATED

MORGAN STANLEY & CO. LLC

D. A. CAMPBELL COMPANY INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

UBS FINANCIAL SERVICES INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/19/2007

SIE

Date: 10/1/2018

Series 86

Date: 4/11/2007

Series 87

Date: 3/26/2007

Series 7

Date: 3/12/2007

Series 16

Date: 8/31/1994

Series 3

Date: 8/25/1986

Series 24

Date: 12/14/1994

BOX Exchange LLC

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe C2 Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

Cboe Exchange, Inc.

FINRA

Investors' Exchange LLC

Long-Term Stock Exchange, Inc.

MEMX LLC

MIAX Emerald, LLC

MIAX PEARL, LLC

MIAX Sapphire

Miami International Securities Exchange, LLC

NYSE American LLC

NYSE Arca, Inc.

NYSE National, Inc.

NYSE Texas, Inc.

Nasdaq BX, Inc.

Nasdaq GEMX, LLC

Nasdaq ISE, LLC

Nasdaq MRX, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

New York Stock Exchange

Current Firm

CLEAR STREET LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CLEAR STREET LLC

TRUST BUT VERIFY

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