Sean L. Malloy
Professional summary
Sean Leo Malloy is a registered financial professional currently at CLEAR STREET LLC located in New York, New York.
Sean is registered as a RR (Registered Representative) and started their career in finance in 2005. Sean has worked at 9 firms and has passed the Series 63, Series 79TO, Series 99TO, SIE, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Sean Leo Malloy's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 27, 2020 - 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, 10007October 27, 2020 - October 14, 2022
PRECISION SECURITIES, LLC
May 24, 2013 - October 29, 2020
SAGETRADER, LLC
August 29, 2012 - May 22, 2013
MAREX CAPITAL MARKETS INC.
July 9, 2012 - August 1, 2012
APEX CLEARING CORPORATION
July 8, 2009 - March 28, 2012
PENSON EXECUTION SERVICES, INC.
November 5, 2007 - August 1, 2012
PENSON FINANCIAL SERVICES, INC.
August 12, 2005 - July 13, 2007
NYFIX MILLENNIUM, L.L.C.
January 5, 2005 - July 13, 2007
NYFIX TRANSACTION SERVICES, 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
(10/27/2020)
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Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationCboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, 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 | 2 |
| Arbitration | 1 |
Red Flags
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