GP
Greg R. Pendy
CLEAR STREET LLC
New York, NY 10007
Some features on this profile are disabled
CRD#: 3218437
GP
Professional summary
Greg R Pendy, who also goes by Gregory Pendy, is a registered financial professional currently at CLEAR STREET LLC located in New York, New York.
Greg is registered as a RR (Registered Representative) and started their career in finance in 1999. Greg has worked at 6 firms and has passed the Series 63, SIE, Series 87, Series 86, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Gregory Pendy
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.
CRS (Client Relationship Summary) - BD
Click below to view Greg R Pendy'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®
NoneExperience
Current
July 17, 2024 - Present
CLEAR STREET LLC
Office #1: 4 World Trade Center 150 Greenwich Street 45th Floor, New York, NY, 10007BD
CRD#: 288933
New York, NY
Past
October 18, 2021 - July 2, 2024
CHARDAN CAPITAL MARKETS LLC
BD
CRD#: 120128
NEW YORK, NY
Past
September 22, 2015 - October 15, 2021
SIDOTI & COMPANY, LLC
BD
CRD#: 102860
NEW YORK, NY
Past
November 12, 2009 - June 22, 2015
NOMURA SECURITIES INTERNATIONAL, INC.
BD
CRD#: 4297
NEW YORK, NY
Past
January 23, 2004 - April 24, 2009
BANC OF AMERICA SECURITIES LLC
BD
CRD#: 26091
NEW YORK, NY
Past
May 20, 1999 - May 24, 2000
LEHMAN BROTHERS INC.
BD
CRD#: 7506
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
Alabama(7/17/2024)
RR
Alaska(7/17/2024)
RR
Arizona(7/17/2024)
RR
Arkansas(7/17/2024)
RR
California(7/17/2024)
RR
Colorado(7/17/2024)
RR
Connecticut(7/17/2024)
RR
Delaware(7/17/2024)
RR
District of Columbia(7/17/2024)
RR
Florida(7/17/2024)
RR
Georgia(7/17/2024)
RR
Hawaii(7/17/2024)
RR
Idaho(7/17/2024)
RR
Illinois(7/17/2024)
RR
Indiana(7/17/2024)
RR
Iowa(7/17/2024)
RR
Kansas(7/17/2024)
RR
Kentucky(7/17/2024)
RR
Louisiana(7/17/2024)
RR
Maine(7/17/2024)
RR
Maryland(7/17/2024)
RR
Massachusetts(7/17/2024)
RR
Michigan(7/17/2024)
RR
Minnesota(7/17/2024)
RR
Mississippi(7/17/2024)
RR
Missouri(7/17/2024)
RR
Montana(7/17/2024)
RR
Nebraska(7/17/2024)
RR
Nevada(7/17/2024)
RR
New Hampshire(7/17/2024)
RR
New Jersey(7/17/2024)
RR
New Mexico(7/17/2024)
RR
New York(7/17/2024)
RR
North Carolina(7/17/2024)
RR
North Dakota(7/17/2024)
RR
Ohio(7/18/2024)
RR
Oklahoma(7/17/2024)
RR
Oregon(7/17/2024)
RR
Pennsylvania(7/17/2024)
RR
Puerto Rico(7/17/2024)
RR
Rhode Island(7/17/2024)
RR
South Carolina(7/17/2024)
RR
South Dakota(7/17/2024)
RR
Tennessee(7/17/2024)
RR
Texas(7/17/2024)
RR
Utah(7/17/2024)
RR
Vermont(7/17/2024)
RR
Virgin Islands(7/17/2024)
RR
Virginia(7/17/2024)
RR
Washington(7/17/2024)
RR
West Virginia(7/17/2024)
RR
Wisconsin(7/17/2024)
RR
Wyoming(7/17/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 6/25/2007
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
CS
CLEAR STREET LLC
CENTERPOINT SECURITIES | GLOBECS, LLC | CLEAR STREET, LLC | CLEAR STREET LLC | CLEAR STREET FUTURES
CRD#: 288933 / SEC#: , 8-69972
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
4 World Trade Center 150 Greenwich Street 45th Floor, New York, NY, 10007
Mailing Address
4 World Trade Center 150 Greenwich Street 45th Floor, New York, NY, 10007
Phone number
(646) 738-4066
Established
Delaware since 12/20/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees
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.
