AH
Alan J. Huber
CLEAR STREET LLC
Stamford, CT 06902
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CRD#: 1593345
AH
Professional summary
Alan Jay Huber, CFP®, who also goes by Alan Jay Huber Jr, Jay A Huber Jr, is a registered financial professional currently at CLEAR STREET LLC located in Stamford, Connecticut.
Alan is registered as a RR (Registered Representative) and started their career in finance in 1986. Alan has worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Alan Jay Huber Jr | Jay A Huber Jr
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.
CRS (Client Relationship Summary) - BD
Click below to view Alan Jay Huber'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®
Experience
Current
June 17, 2025 - Present
CLEAR STREET LLC
Office #1: 1 Dock Street, Suite 320, Stamford, CT 06902BD
CRD#: 288933
Stamford, CT
Past
July 19, 2017 - June 16, 2025
ACCESS SECURITIES, LLC
BD
CRD#: 22455
Danbury, CT
Past
October 12, 2015 - August 1, 2017
SRT SECURITIES LLC
BD
CRD#: 33725
BIRMINGHAM, MI
Past
September 7, 2011 - June 18, 2015
OPPENHEIMER & CO. INC.
BD
CRD#: 249
NEW YORK, NY
Past
September 19, 2001 - September 7, 2011
ACCESS SECURITIES, LLC
BD
CRD#: 22455
STAMFORD, CT
Past
April 23, 2001 - September 19, 2001
WEEDEN & CO.L.P.
BD
CRD#: 16835
GREENWICH, CT
Past
June 29, 1998 - April 9, 2001
UBS SECURITIES LLC
BD
CRD#: 7654
NEW YORK, NY
Past
March 17, 1998 - June 29, 1998
SBC WARBURG DILLON READ INC.
BD
CRD#: 1650
STAMFORD, CT
Past
August 27, 1987 - January 12, 1989
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
Past
December 23, 1986 - August 31, 1987
THE STUART-JAMES COMPANY, INCORPORATED
BD
CRD#: 11691
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
Alabama(6/23/2025)
RR
Alaska(6/27/2025)
RR
Arizona(6/20/2025)
RR
Arkansas(6/26/2025)
RR
California(6/18/2025)
RR
Colorado(6/23/2025)
RR
Connecticut(6/18/2025)
RR
Delaware(6/20/2025)
RR
District of Columbia(6/18/2025)
RR
Florida(6/19/2025)
RR
Georgia(6/20/2025)
RR
Idaho(6/18/2025)
RR
Illinois(6/18/2025)
RR
Indiana(6/19/2025)
RR
Iowa(6/19/2025)
RR
Kansas(6/18/2025)
RR
Kentucky(6/24/2025)
RR
Louisiana(6/20/2025)
RR
Maine(6/23/2025)
RR
Maryland(9/30/2025)
RR
Massachusetts(8/25/2025)
RR
Michigan(6/20/2025)
RR
Minnesota(6/18/2025)
RR
Mississippi(6/24/2025)
RR
Missouri(6/23/2025)
RR
Nebraska(6/18/2025)
RR
Nevada(6/18/2025)
RR
New Hampshire(6/23/2025)
RR
New Jersey(6/18/2025)
RR
New Mexico(6/23/2025)
RR
New York(6/18/2025)
RR
North Carolina(7/1/2025)
RR
North Dakota(6/23/2025)
RR
Ohio(6/20/2025)
RR
Oklahoma(6/19/2025)
RR
Oregon(6/23/2025)
RR
Pennsylvania(6/18/2025)
RR
Puerto Rico(7/8/2025)
RR
Rhode Island(6/23/2025)
RR
South Carolina(6/23/2025)
RR
South Dakota(6/20/2025)
RR
Tennessee(6/20/2025)
RR
Texas(6/19/2025)
RR
Utah(6/18/2025)
RR
Vermont(6/19/2025)
RR
Virgin Islands(6/20/2025)
RR
Virginia(6/26/2025)
RR
Washington(6/24/2025)
RR
West Virginia(6/23/2025)
RR
Wisconsin(6/18/2025)
RR
Wyoming(6/18/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/3/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
CS
CLEAR STREET LLC
CENTERPOINT SECURITIES | GLOBECS, LLC | CLEAR STREET, LLC | CLEAR STREET LLC | CLEAR STREET FUTURES
CRD#: 288933 / SEC#: , 8-69972
BD
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)
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.
