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CR

Charles L. Ross

CLEAR STREET LLC
New York, NY 10007
Some features on this profile are disabled
CRD#: 2302668
CR

Professional summary

Charles Louis Ross, who also goes by Charles Ross, Charlie Ross, is a registered financial professional currently at CLEAR STREET LLC located in New York, New York.

Charles is registered as a RR (Registered Representative) and started their career in finance in 1997. Charles has worked at 6 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Charles Ross | Charlie Ross

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Charles Louis Ross's CRS (Customer Relationship Summary).
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®
None

Experience

Current

October 16, 2019 - Present

CLEAR STREET LLC

Office #1: 4 World Trade Center 150 Greenwich Street 45th Floor, New York, NY, 10007
BD
CRD#: 288933
New York, NY
Past

March 23, 2018 - October 24, 2019

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY
Past

October 3, 2008 - August 5, 2015

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY
Past

August 19, 2008 - July 19, 2018

BNP PARIBAS PRIME BROKERAGE, INC.

BD
CRD#: 24962
NEW YORK, NY
Past

June 3, 2005 - October 1, 2008

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

August 17, 2004 - March 29, 2005

INTESA SANPAOLO IMI SECURITIES CORP.

BD
CRD#: 19418
NEW YORK, NY
Past

February 24, 2004 - July 2, 2004

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

April 12, 2000 - December 31, 2003

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
NEW YORK, NY
Past

March 17, 1997 - April 7, 2000

PERSHING LLC

BD
CRD#: 7560
JERSEY CITY, NJ

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
New York
(10/16/2019)

Exams

State Security Law Exam
RR
Series 63
Date: 5/20/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 12/21/2006
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/14/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/20/2012
General Securities Principal Examination
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CLEAR STREET HOLDINGS LLCSOLE CLASS A MEMBER
AUSUBEL, ELLI MARKDIRECTOR5715145
COHEN, URIEL EPHRAIMDIRECTOR4089765
HAMMERICH, DALF PAULHEAD OF SUPPORT4710381
MOCCIA, CHRISTY NOELCHIEF COMPLIANCE OFFICER4855629
OLIVEIRA, BRIANCFO/FINOP/PRINCIPAL FINANCIAL OFFICER5371120
SICKLICK, KENNETHDIRECTOR7418830
VOLZ, ANDREWDIRECTOR, CHIEF EXECUTIVE OFFICER4808674

Disclosures

Regulatory Event1
Arbitration1

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.

Company Information

CLEAR STREET LLC

CRD#: 288933New York, NY 10007

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