Steven R. Trimble
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Steven Robert Trimble was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1993. Steven had worked at 7 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2023 - August 18, 2026
CLEAR STREET LLC
May 25, 2021 - June 9, 2023
MAREX CAPITAL MARKETS INC.
January 10, 2017 - May 4, 2018
LIGHTSPEED FINANCIAL SERVICES GROUP LLC
April 15, 2016 - May 30, 2019
WEDBUSH SECURITIES INC.
October 1, 2008 - May 6, 2015
J.P. MORGAN SECURITIES LLC
June 17, 2008 - October 1, 2008
J.P. MORGAN SECURITIES INC.
November 15, 1994 - June 18, 2008
J.P. MORGAN SECURITIES LLC
August 26, 1993 - May 12, 1994
ING FINANCIAL MARKETS 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 8
Date: 9/26/1996
General Securities Sales Supervisor Examination (Options Module & General Module)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.
