DC
Daniel J. Connolly
CLEAR STREET LLC
Geneva, IL 60134
Some features on this profile are disabled
CRD#: 4304232
DC
Professional summary
Daniel James Connolly, who also goes by Daniel Connolly, is a registered financial professional currently at CLEAR STREET LLC located in Geneva, Illinois.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2003. Daniel has worked at 7 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Daniel Connolly
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 Daniel James Connolly'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
October 1, 2024 - Present
CLEAR STREET LLC
Office #1: 2100 Enterprise Avenue, Geneva, IL 60134BD
CRD#: 288933
Geneva, IL
Past
October 20, 2022 - October 8, 2024
INSTINET, LLC
BD
CRD#: 7897
Geneva, IL
Past
March 17, 2022 - October 20, 2022
FIS BROKERAGE & SECURITIES SERVICES LLC
BD
CRD#: 104162
GENEVA, IL
Past
July 1, 2020 - July 19, 2021
GREAT POINT CAPITAL LLC
BD
CRD#: 114203
CHICAGO, IL
Past
April 2, 2018 - July 24, 2020
BTIG, LLC
BD
CRD#: 122225
CHICAGO, IL
Past
January 9, 2013 - March 12, 2018
CITADEL SECURITIES LLC
BD
CRD#: 116797
CHICAGO, IL
Past
May 23, 2012 - January 2, 2013
GREAT POINT CAPITAL LLC
BD
CRD#: 114203
CHICAGO, IL
Past
April 29, 2011 - May 30, 2012
AVATAR SECURITIES, LLC
BD
CRD#: 147763
NEW YORK, NY
Past
March 3, 2003 - July 2, 2010
GREAT POINT CAPITAL LLC
BD
CRD#: 114203
CHICAGO, IL
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(10/1/2024)
RR
Alaska(10/1/2024)
RR
Arizona(10/1/2024)
RR
Arkansas(10/1/2024)
RR
California(10/1/2024)
RR
Colorado(10/1/2024)
RR
Connecticut(10/1/2024)
RR
Delaware(10/1/2024)
RR
District of Columbia(10/1/2024)
RR
Florida(10/1/2024)
RR
Georgia(10/1/2024)
RR
Hawaii(10/1/2024)
RR
Idaho(10/1/2024)
RR
Illinois(10/1/2024)
RR
Indiana(10/1/2024)
RR
Iowa(10/1/2024)
RR
Kansas(10/1/2024)
RR
Kentucky(10/1/2024)
RR
Louisiana(10/1/2024)
RR
Maine(10/1/2024)
RR
Maryland(10/1/2024)
RR
Massachusetts(10/1/2024)
RR
Michigan(10/1/2024)
RR
Minnesota(10/1/2024)
RR
Mississippi(10/1/2024)
RR
Missouri(10/1/2024)
RR
Montana(10/1/2024)
RR
Nebraska(10/1/2024)
RR
Nevada(10/1/2024)
RR
New Hampshire(10/1/2024)
RR
New Jersey(10/1/2024)
RR
New Mexico(10/1/2024)
RR
New York(10/1/2024)
RR
North Carolina(10/1/2024)
RR
North Dakota(10/1/2024)
RR
Ohio(10/1/2024)
RR
Oklahoma(10/1/2024)
RR
Oregon(10/1/2024)
RR
Pennsylvania(10/1/2024)
RR
Puerto Rico(10/1/2024)
RR
Rhode Island(10/1/2024)
RR
South Carolina(10/1/2024)
RR
South Dakota(10/1/2024)
RR
Tennessee(10/1/2024)
RR
Texas(10/1/2024)
RR
Utah(10/1/2024)
RR
Vermont(10/1/2024)
RR
Virgin Islands(10/1/2024)
RR
Virginia(10/1/2024)
RR
Washington(10/1/2024)
RR
West Virginia(10/1/2024)
RR
Wisconsin(10/1/2024)
RR
Wyoming(10/1/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/15/2003
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory 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 | 2 |
| 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.
