Alfred J. Pennisi
Professional summary
Alfred Joseph Pennisi, who also goes by Alferd Joseph Pennisi, is a registered financial professional currently at CLEAR STREET LLC located in New York, New York.
Alfred is registered as a RR (Registered Representative) and started their career in finance in 1999. Alfred has worked at 5 firms and has passed the Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alfred Joseph Pennisi's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 19, 2018 - Present
CLEAR STREET LLC
Office #1: 4 World Trade Center 150 Greenwich Street 45th Floor, New York, NY, 10007November 25, 2009 - April 11, 2018
VIRTU AMERICAS LLC
August 15, 2003 - November 20, 2009
VELOCITY CLEARING, LLC
June 28, 1999 - May 9, 2003
ICLEARING LLC
March 17, 1999 - June 15, 1999
PERSHING 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 ExaminationCboe BZX Exchange, Inc.
FINRA
NYSE American LLC
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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