AG
Austin A. Graham
CLEAR STREET LLC
New York, NY 10007
Some features on this profile are disabled
CRD#: 1870837
AG
Professional summary
Austin Allen Graham, who also goes by Austin Allen Graham, is a registered financial professional currently at CLEAR STREET LLC located in New York, New York.
Austin is registered as a RR (Registered Representative) and started their career in finance in 1989. Austin has worked at 5 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7, Series 24, Series 23, Series 10, Series 9 and Series 4 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Austin Allen Graham
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 Austin Allen Graham'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®
NoneExperience
Current
June 19, 2020 - Present
CLEAR STREET LLC
Office #1: 4 World Trade Center 150 Greenwich Street 45th Floor, New York, NY, 10007BD
CRD#: 288933
New York, NY
Past
July 12, 2016 - December 26, 2018
THE BENCHMARK COMPANY, LLC
BD
CRD#: 22982
NEW YORK, NY
Past
May 28, 2008 - December 17, 2015
MACQUARIE CAPITAL (USA) INC.
BD
CRD#: 36368
NEW YORK, NY
Past
July 20, 1989 - March 17, 2008
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
Past
February 28, 1989 - September 20, 1989
GERALD S. BERGER, INC.
BD
CRD#: 13407
HARTSDALE, NY
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
California(6/19/2020)
RR
Connecticut(6/19/2020)
RR
Delaware(7/15/2022)
RR
District of Columbia(1/11/2022)
RR
Florida(6/19/2020)
RR
Georgia(1/11/2022)
RR
Illinois(1/11/2022)
RR
Maine(1/11/2022)
RR
Maryland(1/11/2022)
RR
Massachusetts(7/24/2020)
RR
Michigan(7/15/2022)
RR
Minnesota(7/15/2022)
RR
Nevada(1/11/2022)
RR
New Hampshire(1/11/2022)
RR
New Jersey(6/19/2020)
RR
New York(6/19/2020)
RR
North Carolina(1/11/2022)
RR
Oregon(7/15/2022)
RR
Pennsylvania(1/11/2022)
RR
Puerto Rico(7/24/2020)
RR
Texas(6/19/2020)
RR
Virginia(1/11/2022)
RR
Washington(1/11/2022)
RR
Wisconsin(7/15/2022)
RR
Wyoming(7/15/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 2/28/2000
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
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.
