William C. Holub

CLSA AMERICAS

New York, NY 10036

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CRD#: 2680290

Professional summary

William Charles Holub, who also goes by William C Holub, is a registered financial professional currently at CLSA AMERICAS, LLC located in New York, New York and CITIC SECURITIES INTERNATIONAL USA, LLC located in New York, New York.

William is registered as a RR (Registered Representative) and started their career in finance in 1995. William has worked at 10 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 87, Series 7, Series 24 and Series 27 exams.

Question & Answer

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Aliases

William C Holub

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 William Charles Holub's 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

February 15, 2013 - Present

CLSA AMERICAS, LLC

Office #1: 1155 Avenue Of The Americas 17th Floor, New York, NY, 10036

RIA

CRD#: 165533

New York, NY

Current

June 6, 2017 - Present

CITIC SECURITIES INTERNATIONAL USA, LLC

Office #1: 1155 Avenue Of The Americas 17th Floor, New York, NY 10036

CRD#: 158266

New York, NY

Past

October 8, 2010 - June 3, 2013

CREDIT AGRICOLE SECURITIES (USA) INC.

CRD#: 190

NEW YORK, NY

Past

November 9, 2009 - February 25, 2011

JESUP & LAMONT SECURITIES CORP

CRD#: 39056

NEW YORK, NY

Past

October 10, 2007 - October 27, 2009

LOUIS CAPITAL MARKETS, LLC

CRD#: 48013

PARIS,

Past

March 22, 2006 - September 17, 2007

ELECTRONIC GLOBAL SECURITIES, INC.

CRD#: 47584

NEW YORK, NY

Past

November 2, 2000 - March 2, 2005

COLLINS STEWART (SECURITIES) INC.

CRD#: 103746

NEW YORK, NY

Past

July 26, 2000 - May 3, 2005

TULLETT LIBERTY BROKERAGE INC.

CRD#: 19717

JERSEY CITY, NJ

Past

November 16, 1995 - April 14, 1998

LIBERTY BROKERS

CRD#: 32391

NEW YORK, NY

Past

October 31, 1995 - May 3, 2005

TULLETT PREBON FINANCIAL SERVICES LLC

CRD#: 28196

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

California
(2/26/2013)

Florida
(2/27/2013)

New York
(2/20/2013)

Texas
(2/25/2013)

Virginia
(3/28/2013)

Washington
(11/13/2018)

Exams

State Security Law Exam

Series 63

Date: 5/5/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 10/24/2009

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 12/15/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 8/28/2000

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 9/5/1996

Financial and Operations Principal Examination

SRO Registrations

FINRA

SRO Registrations

Investors' Exchange LLC

SRO Registrations

MEMX LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

CITIC SECURITIES INTERNATIONAL USA, LLC

CRD#: 158266 / SEC#: , 8-68887

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

1155 Avenue Of The Americas 17th Floor, New York, NY 10036

Mailing Address

1155 Avenue Of The Americas 17th Floor, New York, NY 10036

Phone number

(212) 549-4791

Established

Delaware since 05/18/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
CLSA AMERICAS HOLDINGS, INC.	MEMBER/SHAREHOLDER
BILLET, CHRISTIAN LESLIE	CHIEF COMPLIANCE OFFICER	2441597
HOLUB, WILLIAM CHARLES	BOARD MEMBER, CHIEF FINANCIAL OFFICER - FINOP	2680290
LI, JIONG	BOARD MEMBER	6798277
SCHWARTZ, BRADLEY HARRIS	CEO AND BOARD MEMBER	2372237

Red Flags

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Firm Stability Insights

William C. Holub

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view William Charles Holub's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIC SECURITIES INTERNATIONAL USA, LLC

CREDIT AGRICOLE SECURITIES (USA) INC.

JESUP & LAMONT SECURITIES CORP

LOUIS CAPITAL MARKETS, LLC

ELECTRONIC GLOBAL SECURITIES, INC.

COLLINS STEWART (SECURITIES) INC.

TULLETT LIBERTY BROKERAGE INC.

LIBERTY BROKERS

TULLETT PREBON FINANCIAL SERVICES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 5/5/1997

Series 99TO

Date: 1/2/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 87

Date: 10/24/2009

Series 7

Date: 12/15/1999

Series 24

Date: 8/28/2000

Series 27

Date: 9/5/1996

FINRA

Investors' Exchange LLC

MEMX LLC

NYSE American LLC

NYSE Arca, Inc.

Nasdaq Stock Market

New York Stock Exchange

Current Firm

CITIC SECURITIES INTERNATIONAL USA, LLC

Contact information

FINRA licenses (1 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

CITIC SECURITIES INTERNATIONAL USA, LLC

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