Risa F. Steinberg
Professional summary
Risa F Steinberg, who also goes by Risa Fran Steinberg, Risa Steinberg, Rissa F Steinberg, is a registered financial professional currently at CLEAR STREET LLC located in New York, New York.
Risa is registered as a RR (Registered Representative) and started their career in finance in 1991. Risa has worked at 17 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Risa F Steinberg's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 9, 2026 - Present
CLEAR STREET LLC
Office #1: 4 World Trade Center 150 Greenwich Street 45th Floor, New York, NY, 10007May 22, 2025 - September 19, 2025
LPL FINANCIAL LLC
January 24, 2022 - April 18, 2024
SPROTT GLOBAL RESOURCE INVESTMENTS LTD
July 8, 2021 - August 30, 2021
MAN INVESTMENTS INC.
February 27, 2020 - September 22, 2020
DWS DISTRIBUTORS, INC.
July 15, 2014 - September 3, 2019
J.P. MORGAN SECURITIES LLC
February 4, 2014 - July 29, 2014
EQUITY SERVICES, INC.
November 8, 2012 - November 7, 2013
HORNOR, TOWNSEND & KENT, LLC
February 10, 2012 - September 12, 2012
EQUITABLE ADVISORS, LLC
February 22, 2011 - August 31, 2011
MORGAN STANLEY
February 22, 2011 - August 31, 2011
MORGAN STANLEY
May 29, 2007 - June 10, 2010
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - June 10, 2010
CITIGROUP GLOBAL MARKETS INC.
February 2, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
February 10, 2000 - May 29, 2007
CITICORP INVESTMENT SERVICES
August 13, 1998 - February 8, 2000
DALTON KENT SECURITIES GROUP, INC.
June 18, 1998 - July 27, 1998
MILLENNIUM SECURITIES CORP.
November 1, 1994 - February 9, 1998
BILTMORE SECURITIES, INC.
April 21, 1994 - October 17, 1994
J. B. HANAUER & CO.
August 24, 1993 - March 22, 1994
BILTMORE SECURITIES, INC.
May 16, 1991 - August 24, 1993
STRATTON OAKMONT INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/9/2026)
Exams
Series 99TO
Date: 5/22/2025
Operations Professional Examination24X National Exchange LLC
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 GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Nasdaq Texas, 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 | 2 |
| 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.
