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JD

John A. Dwyer

TZ CLEAR LLC
DALLAS, TX 75206
Some features on this profile are disabled
CRD#: 2973082
JD

Professional summary

John Andrew Dwyer is a registered financial professional currently at TZ CLEAR LLC located in Dallas, Texas.

John is registered as a RR (Registered Representative) and started their career in finance in 1997. John has worked at 9 firms and has passed the Series 65, Series 63, Series 79TO, Series 52TO, Series 99TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 John Andrew Dwyer'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

December 15, 2023 - Present

TZ CLEAR LLC

Office #1: 8080 North Central Expressway Suite 1700, Dallas, TX 75206
BD
CRD#: 8089
DALLAS, TX
Past

November 15, 2021 - May 17, 2023

EMBED CLEARING LLC

BD
CRD#: 309519
VANCOUVER, WA
Past

September 6, 2013 - April 13, 2021

AXOS CLEARING LLC

BD
CRD#: 117176
OMAHA, NE
Past

January 30, 2009 - November 15, 2012

SMITH HAYES ADVISERS INC

RIA
CRD#: 110776
LINCOLN, NE
Past

December 8, 2008 - November 15, 2012

SMITH HAYES FINANCIAL SERVICES CORPORATION

BD
CRD#: 17059
LINCOLN, NE
Past

May 20, 2008 - August 27, 2008

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

May 26, 2000 - May 27, 2008

NATIONAL FINANCIAL SERVICES LLC

BD
CRD#: 13041
JERSEY CITY, NJ
Past

June 22, 1999 - March 28, 2000

SANFORD C. BERNSTEIN & CO., INC.

BD
CRD#: 1232
NEW YORK, NY
Past

December 10, 1997 - June 12, 1998

HAPOALIM SECURITIES USA, INC.

BD
CRD#: 266
NEW YORK, NY

State Registrations and Notice Filings

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

RR
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

RR
Texas
(5/3/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 1/21/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/4/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/9/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 12/27/2021
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 2/24/2011
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/11/2004
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

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

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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TRADEZERO USA, INC.PARENT COMPANY
CALLEJAS, KHRISMANAGER6062989
DENNEY, NICOLETTE IRISACHIEF FINANCIAL OFFICER FIN/OP1090644
JEHL, ILA S. IIICEO1893486
LUBURIC, IVANCHIEF COMPLIANCE OFFICER2189458
REX, COLETTE MCPP / POO1901452
SHEARIN, MICHAEL AMANAGER6358252

Disclosures

Regulatory Event5

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.

Company Information

TZ CLEAR LLC

CRD#: 8089Dallas, TX 75206

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