Thomas H. Popp
Professional summary
Thomas Harold Popp, who also goes by Thomas H Popp, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Harold Popp's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 6, 2022 - Present
CLEAR STREET LLC
Office #1: 4 World Trade Center 150 Greenwich Street 45th Floor, New York, NY, 10007May 17, 2017 - January 4, 2022
CF SECURED, LLC
March 15, 2017 - January 4, 2022
CANTOR FITZGERALD & CO.
October 24, 2008 - April 1, 2015
G-TRADE SERVICES LLC
June 23, 2005 - April 10, 2017
WESTMINSTER RESEARCH ASSOCIATES LLC
February 1, 2005 - March 29, 2017
COWEN EXECUTION SERVICES LLC
September 6, 2000 - February 20, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/6/2022)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
Long-Term Stock Exchange, Inc.
MIAX PEARL, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq Stock Market
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 | 1 |
| Arbitration | 1 |
Red Flags
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