Patrick A. Travers
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.
Patrick A. Travers, who also goes by Patrick A Travers, Patrick A. Travers, Patrick Anthony Travers, Patrick Travers, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 1999. Patrick had worked at 8 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, 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
April 20, 2022 - October 10, 2025
CLEAR STREET LLC
September 5, 2014 - March 25, 2022
WELLS FARGO SECURITIES, LLC
July 8, 2014 - March 25, 2022
WELLS FARGO PRIME SERVICES, LLC
August 14, 2013 - June 24, 2014
DEUTSCHE BANK SECURITIES INC.
January 11, 2010 - April 2, 2013
MERRILL LYNCH PROFESSIONAL CLEARING CORP.
November 19, 2009 - April 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 15, 2008 - December 1, 2009
CITIGROUP GLOBAL MARKETS INC.
April 10, 2008 - June 10, 2008
LEHMAN BROTHERS INC.
September 7, 1999 - April 7, 2008
CITIGROUP GLOBAL MARKETS INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/12/2000
Limited Representative-Equity Trader ExamCurrent 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
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.
