Michael K. Rawlins
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.
Michael Kevin Rawlins was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 8 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 3, Series 55, Series 7, Series 52 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
January 15, 2021 - June 3, 2024
CLEAR STREET LLC
October 27, 2014 - October 14, 2022
PRECISION SECURITIES, LLC
January 7, 2013 - October 27, 2014
BOURSA INVESTMENTS
July 28, 2011 - December 17, 2012
CAPSTONE INVESTMENTS
May 1, 2008 - July 29, 2011
LIGHTSPEED TRADING, LLC
February 1, 2005 - May 1, 2008
INTEGRITY TRADING, INC.
March 2, 1999 - December 31, 2005
MAXIMUM FINANCIAL INVESTMENT GROUP, INC.
July 1, 1996 - September 12, 1997
AMERIPRISE ADVISOR SERVICES, 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 4/22/1999
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.
