Clemente C. Siclare
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.
Clemente Chris Siclare, who also goes by Clement C Siclare, Clement Chris Siclare, was a registered financial professional .
Clemente is a previously registered financial professional and started their career in finance in 1998. Clemente had worked at 10 firms and has passed the Series 66, Series 55, Series 7 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
July 8, 2010 - July 11, 2013
UBS SECURITIES LLC
August 5, 2008 - May 17, 2010
ICE EXECUTION SERVICES, LLC
May 7, 2007 - June 30, 2008
INSTINET, LLC
November 14, 2005 - September 5, 2006
CYBERTRADER, INC.
May 31, 2005 - July 22, 2005
ELECTRONIC GLOBAL SECURITIES, INC.
January 14, 2003 - July 24, 2003
INSTINET, LLC
January 30, 2002 - April 30, 2002
NASDAQ CAPITAL MARKETS ADVISORY LLC
March 3, 2000 - July 24, 2003
INET ATS, INC.
November 3, 1999 - February 29, 2000
OCC DISTRIBUTORS LLC
August 6, 1998 - October 12, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 55
Date: 4/4/2000
Limited Representative-Equity Trader ExamCurrent Firm
UBS SECURITIES LLC
CRD#: 7654 / SEC#: 801-67178, 8-22651
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| UBS AMERICAS INC | MEMBER, VOTING | |
| CASAVECHIA, RICHARD MICHAEL | MANAGING DIRECTOR, SENIOR MANAGER INVESTMENT BANKING | 4732235 |
| EBERT, MICHAEL J | PRESIDENT AND CHAIR OF THE BOARD | 4556059 |
| HAZELWOOD, TRICIA | MANAGING DIRECTOR, SENIOR MANAGER TRADING & SALES | 4232035 |
| LOFTUS, MICHAEL L | MANAGING ATTORNEY, INVESTMENT BANKING & CAPITAL MARKETS | 4176467 |
| MATTONE, RALPH MICHAEL | PRINCIPAL FINANCIAL OFFICER | 1840894 |
| MILLER, MAURA ANNE | CHIEF COMPLIANCE OFFICER | 4444187 |
| NIETO, CALLUM | PRINCIPAL OPERATIONS OFFICER | 6765482 |
| VAN TASSEL, JAMES C | MANAGING DIRECTOR, US EQUITIES RESEARCH | 2558212 |
Disclosures
| Regulatory Event | 309 |
| Civil Event | 4 |
| Arbitration | 4 |
Red Flags
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