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TK

Tomer Klein

CLEAR STREET LLC
Stamford, CT 06902
Some features on this profile are disabled
CRD#: 4316113
TK

Professional summary

Tomer Klein, who also goes by Tom Klein, is a registered financial professional currently at CLEAR STREET LLC located in Stamford, Connecticut and CS ENHANCED LENDING LLC located in New York, New York.

Tomer is registered as a RR (Registered Representative) and started their career in finance in 2001. Tomer has worked at 4 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tom Klein

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Tomer Klein'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®
None

Experience

Current

May 8, 2024 - Present

CLEAR STREET LLC

Office #1: 1 Dock Street, Suite 320, Stamford, CT 06902
BD
CRD#: 288933
Stamford, CT
Current

March 4, 2025 - Present

CS ENHANCED LENDING LLC

Office #1: 4 World Trade Center 150 Greenwich Street 45th Floor, New York, NY, 10007
BD
CRD#: 331620
NEW YORK, NY
Past

May 16, 2016 - May 28, 2024

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

August 24, 2001 - April 8, 2016

UBS SECURITIES LLC

BD
CRD#: 7654
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
Connecticut
(6/4/2024)
RR
New York
(5/8/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 11/16/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 12/12/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/23/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/14/2007
General Securities Principal Examination
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

CE
CS ENHANCED LENDING LLC
CS ENHANCED LENDING LLC

CRD#: 331620 / SEC#: , 8-71254

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, New York, NY, 10007
Phone number
(516) 204-2347
Established
Delaware since 05/07/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CLEAR STREET HOLDINGS LLCDIRECT OWNER
HAMMERICH, DALF PAULPRINCIPAL OPERATIONS OFFICER4710381
MOCCIA, CHRISTY NOELCCO4855629
OLIVEIRA, BRIANFINOP / PFO5371120
VOLZ, ANDREWCEO/COO4808674

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.

Company Information

CS ENHANCED LENDING LLC

CRD#: 331620Stamford, CT 06902

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