Francis J. Davis
Professional summary
Francis John Davis, who also goes by Frank Davis, is a registered financial professional currently at CLEAR STREET LLC located in New York, New York.
Francis is registered as a RR (Registered Representative) and started their career in finance in 1987. Francis has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 7, Series 22, Series 10, Series 9, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Francis John Davis's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 15, 2022 - Present
CLEAR STREET LLC
Office #1: 4 World Trade Center 150 Greenwich Street 45th Floor, New York, NY, 10007January 23, 2004 - July 27, 2022
LEK SECURITIES CORPORATION
October 14, 2003 - January 21, 2004
BURLINGTON CAPITAL MARKETS INC.
July 12, 2002 - October 14, 2003
BURLINGTON CAPITAL MARKETS INC.
April 23, 1997 - March 1, 2002
OSCAR GRUSS & SON INCORPORATED
February 19, 1997 - March 18, 1997
SCHON-EX LLC
February 18, 1997 - March 14, 1997
SCHONFELD SECURITIES, LLC
June 1, 1992 - January 23, 1996
SCHONFELD SECURITIES, LLC
February 2, 1988 - November 8, 1988
FIRST FIDELITY CAPITAL CORP.
July 22, 1987 - November 28, 1990
PRESIDENTIAL CAPITAL CORPORATION
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
Series 57TO
Date: 11/14/2023
Securities Trader ExamSeries 8
Date: 10/17/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MIAX PEARL, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current 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
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