Michael S. Haupt

TRADEZERO AMERICA

Brooklyn, NY 11232

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CRD#: 2865821

Professional summary

Michael S Haupt, who also goes by Michael Stuart Haupt, is a registered financial professional currently at TRADEZERO AMERICA, INC. located in Brooklyn, New York and TZ CLEAR LLC located in Brooklyn, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1997. Michael has worked at 10 firms and has passed the Series 63, Series 57TO, Series 52TO, SIE, Series 55, Series 25, Series 7, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael Stuart Haupt

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 Michael S Haupt'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

November 16, 2018 - Present

TRADEZERO AMERICA, INC.

Office #1: 67 35th Street Suite B450, Brooklyn, NY 11232

CRD#: 282940

Brooklyn, NY

Current

December 5, 2023 - Present

TZ CLEAR LLC

Office #1: 67 35th Street Suite 450a, Brooklyn, NY 11232-0700

CRD#: 8089

Brooklyn, NY

Past

June 25, 2018 - January 2, 2019

ARIVE CAPITAL MARKETS

CRD#: 8060

Bay Ridge, NY

Past

February 15, 2017 - June 20, 2018

VISION BROKERAGE SERVICES, LLC

CRD#: 47927

STAMFORD, CT

Past

April 1, 2015 - November 1, 2016

ROTHSCHILD LIEBERMAN LLC

CRD#: 10030

New York, NY

Past

June 3, 2013 - April 3, 2015

DIVINE CAPITAL MARKETS LLC

CRD#: 118212

NEW YORK, NY

Past

January 2, 2013 - May 31, 2013

DIRECT ACCESS PARTNERS LLC

CRD#: 120950

NEW YORK, NY

Past

October 1, 2000 - December 21, 2012

THE GRISWOLD COMPANY, INCORPORATED

CRD#: 32944

NEW YORK, NY

Past

September 10, 1997 - February 1, 2000

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

May 12, 1997 - August 29, 1997

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

CRD#: 3466

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

Alabama
(1/20/2019)

Alaska
(1/20/2019)

Arizona
(1/20/2019)

Arkansas
(1/20/2019)

California
(1/19/2019)

Colorado
(1/20/2019)

Connecticut
(1/20/2019)

Delaware
(1/20/2019)

District of Columbia
(1/20/2019)

Florida
(1/20/2019)

Georgia
(1/20/2019)

Hawaii
(1/20/2019)

Idaho
(1/20/2019)

Illinois
(1/19/2019)

Indiana
(6/18/2019)

Iowa
(6/18/2019)

Kansas
(6/18/2019)

Kentucky
(6/18/2019)

Louisiana
(6/18/2019)

Maine
(6/18/2019)

Maryland
(6/13/2019)

Massachusetts
(1/19/2019)

Michigan
(6/18/2019)

Minnesota
(6/18/2019)

Mississippi
(6/18/2019)

Missouri
(6/7/2019)

Montana
(6/18/2019)

Nebraska
(6/18/2019)

Nevada
(6/18/2019)

New Hampshire
(1/19/2019)

New Jersey
(1/19/2019)

New Mexico
(6/18/2019)

New York
(1/19/2019)

North Carolina
(6/18/2019)

North Dakota
(6/18/2019)

Ohio
(6/18/2019)

Oklahoma
(6/18/2019)

Oregon
(6/18/2019)

Pennsylvania
(6/18/2019)

Puerto Rico
(6/18/2019)

Rhode Island
(6/18/2019)

South Carolina
(6/18/2019)

South Dakota
(1/28/2019)

Tennessee
(6/18/2019)

Texas
(1/19/2019)

Utah
(6/18/2019)

Vermont
(2/28/2019)

Virgin Islands
(6/18/2019)

Virginia
(6/18/2019)

Washington
(6/18/2019)

West Virginia
(6/18/2019)

Wisconsin
(6/18/2019)

Wyoming
(6/18/2019)

Exams

State Security Law Exam

Series 63

Date: 12/10/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 4/25/2006

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 25

Date: 2/29/2000

NYSE Trading Assistant Examination

General Industry/Product Exam

Series 7

Date: 5/9/1997

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 5/7/2018

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 5/20/2016

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/27/2005

General Securities Principal Examination

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

Cboe Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

Current Firm

TZ CLEAR LLC

KOONCE SECURITIES, INC. | TZ CLEAR LLC | KOONCE SECURITIES, LLC

CRD#: 8089 / SEC#: , 8-24511

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

8080 North Central Expressway Suite 1700, Dallas, TX 75206

Mailing Address

8080 North Central Expressway Suite 1700, Dallas, TX 75206

Phone number

(214) 216-0851

Established

Delaware since 07/22/2014

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
TRADEZERO USA, INC.	PARENT COMPANY
CALLEJAS, KHRIS	MANAGER	6062989
DENNEY, NICOLETTE IRISA	CHIEF FINANCIAL OFFICER FIN/OP	1090644
HAUPT, MICHAEL S	MANAGER	2865821
JEHL, ILA S. III	CEO	1893486
LUBURIC, IVAN	CHIEF COMPLIANCE OFFICER	2189458
REX, COLETTE M	CPP / POO	1901452

Disclosures

Regulatory Event

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Michael S. Haupt

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael S Haupt's CRS (Customer Relationship Summary).

Certified licenses

Experience

TZ CLEAR LLC

ARIVE CAPITAL MARKETS

VISION BROKERAGE SERVICES, LLC

ROTHSCHILD LIEBERMAN LLC

DIVINE CAPITAL MARKETS LLC

DIRECT ACCESS PARTNERS LLC

THE GRISWOLD COMPANY, INCORPORATED

CIBC WORLD MARKETS CORP.

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/10/1997

Series 57TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 4/25/2006

Series 25

Date: 2/29/2000

Series 7

Date: 5/9/1997

Series 4

Date: 5/7/2018

Series 53

Date: 5/20/2016

Series 24

Date: 5/27/2005

Cboe EDGX Exchange, Inc.

Cboe Exchange, Inc.

FINRA

NYSE American LLC

Current Firm

TZ CLEAR LLC

Contact information

FINRA licenses (3 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

TZ CLEAR LLC

TRUST BUT VERIFY

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