Thomas Harold Popp
Professional Summary
Thomas Harold Popp, who also goes by Thomas H Popp, is a registered financial advisor currently at CLEAR STREET LLC located in New York, New York. Thomas is registered as a RR (Registered Representative) and started their career in finance in 2000. Thomas has worked at 7 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 3, Series 14 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas H Popp
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
31 years in the financial services industry
Current & Past Employments
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Current Firm
CENTERPOINT SECURITIES | GLOBECS, LLC | CLEAR STREET, LLC | CLEAR STREET LLC | CLEAR STREET FUTURES
Contact Information
Main Address
4 World Trade Center 150 Greenwich Street 45th Floor, New York, NY, 10007Mailing Address
4 World Trade Center 150 Greenwich Street 45th Floor, New York, NY, 10007Phone Number
(646) 738-4066Established
Delaware since 12/20/2016Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US 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 |
| MOCCIA, CHRISTY NOEL | CHIEF COMPLIANCE OFFICER | 4855629 |
| OLIVEIRA, BRIAN | CFO/FINOP/PRINCIPAL FINANCIAL OFFICER | 5371120 |
| PRICE, JASON | PRINCIPAL OPERATIONS OFFICER | 5216029 |
| SICKLICK, KENNETH | DIRECTOR | 7418830 |
| VOLZ, ANDREW | DIRECTOR, CHIEF EXECUTIVE OFFICER | 4808674 |
Disclosures
Regulatory Event
2Arbitration
1Similar Advisors
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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.
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State Registrations and Notice Filings
(1/6/2022)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Thomas Harold Popp's CRS (Customer Relationship Summary).
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