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TS

Thomas D. Shpetner

OPENYIELD TRADING LLC
New York, NY 10017
Some features on this profile are disabled
CRD#: 4487619
TS

Professional summary

Thomas Daniel Shpetner is a registered financial professional currently at OPENYIELD TRADING LLC located in New York, New York.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2002. Thomas has worked at 11 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, Series 57TO, SIE, Series 7, Series 53, Series 14 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.
(1) NYC ENVIRONMENT CONTROL BOARD, 66 JOHN STREET NEW YORK, NY 10038, NOT INVESTMENT RELATED, NATURE OF THE BUSINESS: NYC BOARD FOR ENVIRONMENTAL ISSUES, START DATE: 03/2012, TITLE: BOARD MEMBER, HOURS: ON AVERAGE 0-2 HOURS A WEEK, OCCUR DURING BUSINESS HOURS: MEETINGS ARE 1-2 HOURS, 6-8 TIMES A YEAR. (2) FRANKLIN TURNPIKE LLC, 494 19TH STREET, APT 1 BROOKLYN, NY 11215, NOT INVESTMENT RELATED, NATURE OF THE BUSINESS: WINE EDUCATION, START DATE: 04/2019, TITLE: WINE EDUCATOR, HOURS: ON AVERAGE 0-2 HOURS A WEEK, OCCUR DURING BUSINESS HOURS: NO. (3) Terroir Tribeca LLC, 24 Harrison Street, New York, New York 10013, Not investment related, Start date: 08/2021, Title: Server, Hours: On average 0-20 hours a month will be devoted to this other business, none of which will be during trading hours.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Daniel Shpetner'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 21, 2025 - Present

OPENYIELD TRADING LLC

Office #1: 205 East 42nd Street Suite 1935, New York, NY 10017
BD
CRD#: 326199
New York, NY
Past

February 13, 2023 - April 17, 2023

ATOMIC BROKERAGE LLC

BD
CRD#: 315263
New York, NY
Past

January 20, 2022 - April 14, 2023

ATOMIC INVEST LLC

RIA
CRD#: 313255
Brooklyn, NY
Past

September 24, 2020 - June 23, 2021

GLOBAL SHARES FINANCIAL SERVICES INC.

BD
CRD#: 284031
JERSEY CITY, NJ
Past

April 12, 2016 - March 20, 2019

VIRTU ITG LLC

BD
CRD#: 29299
NEW YORK, NY
Past

June 1, 2011 - March 30, 2016

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

June 28, 2010 - May 25, 2011

GOLDMAN SACHS EXECUTION & CLEARING, L.P.

BD
CRD#: 3466
NEW YORK, NY
Past

August 31, 2009 - May 25, 2011

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

September 22, 2008 - August 21, 2009

BARCLAYS CAPITAL INC.

BD
CRD#: 19714
NEW YORK, NY
Past

August 9, 2002 - September 22, 2008

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

March 13, 2002 - September 4, 2002

BLOOMBERG TRADEBOOK LLC

BD
CRD#: 40881
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/20/2022
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/2/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 5/21/2025
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 2/13/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/12/2002
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 5/10/2022
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 14
Date: 6/2/2017
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 24
Date: 5/15/2002
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

OT
OPENYIELD TRADING LLC
OPENYIELD TRADING LLC

CRD#: 326199 / SEC#: , 8-71081

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
205 East 42nd St Suite 1935, New York, NY 10017
Mailing Address
205 East 42nd St Suite 1935, New York, NY 10017
Phone number
(908) 409-3542
Established
Delaware since 03/10/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
OPENYIELD INC.SOLE MEMBER OF LLC AND PARENT COMPANY
BIRNBAUM, JONATHAN ADAMCEO, PRESIDENT AND MANAGING PRINCIPAL5350316
CARTER, ANA RFINOP AND CHIEF FINANCIAL OFFICER4424794
SHPETNER, THOMAS DANIELGENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER4487619

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

OPENYIELD TRADING LLC

CRD#: 326199New York, NY 10017

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