Dawn M. Giuffra
Professional summary
Dawn Marie Giuffra, who also goes by Dawn Marie Newman, is a registered financial professional currently at CLEAR STREET LLC located in New York, New York.
Dawn is registered as a RR (Registered Representative) and started their career in finance in 1999. Dawn has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Dawn Marie Giuffra's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 3, 2022 - Present
CLEAR STREET LLC
Office #1: 4 World Trade Center 150 Greenwich Street 45th Floor, New York, NY, 10007Office #2: 4 World Trade Center 150 Greenwich Street 45th Floor, New York, NY, 10007March 9, 2020 - February 28, 2022
EQUILEND
September 28, 2010 - February 28, 2022
AUTOMATED EQUITY FINANCE MARKETS, INC.
April 15, 2003 - May 4, 2004
NEUBERGER BERMAN BD LLC
August 24, 1999 - May 14, 2002
NEUBERGER BERMAN BD LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/3/2022)
Exams
Cboe 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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