Monte G. Pyle
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.
Monte Guy Pyle, who also goes by Monte Pyle, was a registered financial professional .
Monte is a previously registered financial professional and started their career in finance in 1994. Monte had worked at 6 firms and has passed the Series 63, Series 99TO, Series 79TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2022 - February 17, 2023
CLEAR STREET LLC
March 7, 2016 - August 11, 2016
VELOCITY CAPITAL, LLC
January 23, 2001 - February 17, 2023
PRECISION SECURITIES, LLC
June 28, 1999 - January 9, 2001
PACIFIC AMERICAN SECURITIES, LLC
August 2, 1995 - June 28, 1999
ZA ASSOCIATES, INC.
November 23, 1994 - August 8, 1995
SHARPE CAPITAL, 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
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 2/10/2000
Limited Representative-Equity Trader ExamCurrent 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
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.
