Michael S. Haupt
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 S Haupt, who also goes by Michael Stuart Haupt, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1997. Michael had 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
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2023 - January 16, 2026
TZ CLEAR LLC
November 16, 2018 - January 16, 2026
TRADEZERO AMERICA, INC.
June 25, 2018 - January 2, 2019
ARIVE CAPITAL MARKETS
February 15, 2017 - June 20, 2018
VISION BROKERAGE SERVICES, LLC
April 1, 2015 - November 1, 2016
ROTHSCHILD LIEBERMAN LLC
June 3, 2013 - April 3, 2015
DIVINE CAPITAL MARKETS LLC
January 2, 2013 - May 31, 2013
DIRECT ACCESS PARTNERS LLC
October 1, 2000 - December 21, 2012
THE GRISWOLD COMPANY, INCORPORATED
September 10, 1997 - February 1, 2000
CIBC WORLD MARKETS CORP.
May 12, 1997 - August 29, 1997
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 55
Date: 4/25/2006
Limited Representative-Equity Trader ExamSeries 25
Date: 2/29/2000
NYSE Trading Assistant ExaminationCurrent Firm
TZ CLEAR LLC
CRD#: 8089 / SEC#: , 8-24511
Contact information
FINRA licenses (3 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
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.
