Richard C. Mormile

CLEAR STREET LLC

New York, NY 10007

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CRD#: 4755467

Professional summary

Richard Christopher Mormile, who also goes by Rich Christopher Mormile Mr., Richard C Mormile, Richie Christopher Mormile, is a registered financial professional currently at CLEAR STREET LLC located in New York, New York.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2004. Richard has worked at 6 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rich Christopher Mormile Mr. | Richard C Mormile | Richie Christopher Mormile

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 Richard Christopher Mormile's CRS (Customer Relationship Summary).

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

February 7, 2022 - 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, 10007

CRD#: 288933

New York, NY

Past

May 17, 2019 - January 14, 2022

JONESTRADING

CRD#: 6888

NEW YORK, NY

Past

July 1, 2014 - March 31, 2016

BURNHAM SECURITIES INC.

CRD#: 22549

NEW YORK, NY

Past

January 2, 2014 - June 30, 2014

REVERE SECURITIES LLC

CRD#: 14178

NEW YORK, NY

Past

July 29, 2008 - September 12, 2012

EIM SECURITIES (USA) INC.

CRD#: 40065

NEW YORK, NY

Past

December 10, 2007 - March 25, 2008

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

NEW YORK, NY

Past

March 4, 2004 - December 31, 2005

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

BOSTON, MA

State Registrations and Notice Filings

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

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

Alabama
(5/26/2022)

Alaska
(6/2/2022)

Arizona
(6/6/2022)

Arkansas
(5/27/2022)

California
(5/27/2022)

Colorado
(5/26/2022)

Connecticut
(5/27/2022)

Delaware
(5/31/2022)

District of Columbia
(5/26/2022)

Florida
(5/27/2022)

Georgia
(5/31/2022)

Hawaii
(5/31/2022)

Idaho
(5/31/2022)

Illinois
(6/3/2022)

Indiana
(7/28/2022)

Iowa
(5/26/2022)

Kansas
(5/26/2022)

Kentucky
(5/31/2022)

Louisiana
(5/27/2022)

Maine
(5/26/2022)

Maryland
(5/26/2022)

Massachusetts
(5/27/2022)

Michigan
(5/31/2022)

Minnesota
(5/27/2022)

Mississippi
(5/27/2022)

Missouri
(5/26/2022)

Montana
(5/26/2022)

Nebraska
(5/26/2022)

Nevada
(6/16/2022)

New Hampshire
(5/31/2022)

New Jersey
(6/7/2022)

New Mexico
(5/26/2022)

New York
(5/25/2022)

North Carolina
(5/31/2022)

North Dakota
(5/31/2022)

Ohio
(5/27/2022)

Oklahoma
(6/2/2022)

Oregon
(5/27/2022)

Pennsylvania
(5/27/2022)

Puerto Rico
(5/27/2022)

Rhode Island
(6/6/2022)

South Carolina
(5/26/2022)

South Dakota
(6/2/2022)

Tennessee
(5/27/2022)

Texas
(5/31/2022)

Utah
(5/26/2022)

Vermont
(5/26/2022)

Virgin Islands
(5/26/2022)

Virginia
(5/26/2022)

Washington
(6/6/2022)

West Virginia
(6/9/2022)

Wisconsin
(5/31/2022)

Wyoming
(6/1/2022)

Exams

State Security Law Exam

Series 63

Date: 5/30/2019

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 10/28/2008

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 3/3/2004

General Securities Representative Examination

SRO Registrations

Cboe BYX Exchange, Inc.

SRO Registrations

Cboe BZX Exchange, Inc.

SRO Registrations

Cboe EDGA Exchange, Inc.

SRO Registrations

Cboe EDGX Exchange, Inc.

SRO Registrations

FINRA

SRO Registrations

Long-Term Stock Exchange, Inc.

SRO Registrations

MIAX PEARL, LLC

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

NYSE National, Inc.

SRO Registrations

NYSE Texas, Inc.

SRO Registrations

Nasdaq Stock Market

SRO Registrations

New York Stock Exchange

Current Firm

CLEAR STREET LLC

CENTERPOINT SECURITIES | GLOBECS, LLC | CLEAR STREET, LLC | CLEAR STREET LLC | CLEAR STREET FUTURES

CRD#: 288933 / SEC#: , 8-69972

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)

Documents

Customer Relationship Summary (CRS / FINRA)

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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Richard C. Mormile

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Christopher Mormile's CRS (Customer Relationship Summary).

Certified licenses

Experience

JONESTRADING

BURNHAM SECURITIES INC.

REVERE SECURITIES LLC

EIM SECURITIES (USA) INC.

AMUNDI DISTRIBUTOR US, INC.

AMUNDI DISTRIBUTOR US, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 5/30/2019

SIE

Date: 3/31/2016

Series 3

Date: 10/28/2008

Series 7

Date: 3/3/2004

Cboe BYX Exchange, Inc.

Cboe BZX Exchange, Inc.

Cboe EDGA Exchange, Inc.

Cboe EDGX Exchange, Inc.

FINRA

Long-Term Stock Exchange, Inc.

MIAX PEARL, LLC

NYSE American LLC

NYSE Arca, Inc.

NYSE National, Inc.

NYSE Texas, Inc.

Nasdaq Stock Market

New York Stock Exchange

Current Firm

CLEAR STREET LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

CLEAR STREET LLC

TRUST BUT VERIFY

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