BD
Brian H. Dobson
CLEAR STREET LLC
New York, NY 10007
Some features on this profile are disabled
CRD#: 4881099
BD
Professional summary
Brian H. Dobson, who also goes by Brian H. Dodson, is a registered financial professional currently at CLEAR STREET LLC located in New York, New York.
Brian is registered as a RR (Registered Representative) and started their career in finance in 2005. Brian has worked at 10 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Brian H. Dodson
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 Brian H. Dobson'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 1, 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
August 2, 2021 - July 2, 2024
CHARDAN CAPITAL MARKETS LLC
BD
CRD#: 120128
NEW YORK, NY
Past
October 7, 2020 - August 9, 2021
JEFFERIES LLC
BD
CRD#: 2347
NEW YORK, NY
Past
November 14, 2016 - August 6, 2020
INSTINET, LLC
BD
CRD#: 7897
NEW YORK, NY
Past
August 2, 2010 - November 14, 2016
NOMURA SECURITIES INTERNATIONAL, INC.
BD
CRD#: 4297
NEW YORK, NY
Past
May 4, 2010 - August 20, 2010
FM PARTNERS HOLDINGS LLC
BD
CRD#: 134736
NEW YORK, NY
Past
April 13, 2010 - April 28, 2010
B. RILEY SECURITIES, INC.
BD
CRD#: 25027
NEW YORK, NY
Past
January 23, 2007 - February 23, 2010
SUSQUEHANNA FINANCIAL GROUP, LLLP
BD
CRD#: 35865
STAMFORD, CT
Past
March 1, 2006 - January 5, 2007
THE BUCKINGHAM RESEARCH GROUP INCORPORATED
BD
CRD#: 13233
NEW YORK, NY
Past
January 20, 2005 - February 24, 2006
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
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(7/1/2024)
RR
Alaska(7/1/2024)
RR
Arizona(7/1/2024)
RR
Arkansas(7/1/2024)
RR
California(7/1/2024)
RR
Colorado(7/1/2024)
RR
Connecticut(7/1/2024)
RR
Delaware(7/1/2024)
RR
District of Columbia(7/1/2024)
RR
Florida(7/1/2024)
RR
Georgia(7/1/2024)
RR
Hawaii(7/1/2024)
RR
Idaho(7/1/2024)
RR
Illinois(7/1/2024)
RR
Indiana(7/1/2024)
RR
Iowa(7/1/2024)
RR
Kansas(7/1/2024)
RR
Kentucky(7/1/2024)
RR
Louisiana(7/1/2024)
RR
Maine(7/1/2024)
RR
Maryland(7/1/2024)
RR
Massachusetts(7/1/2024)
RR
Michigan(7/1/2024)
RR
Minnesota(7/1/2024)
RR
Mississippi(7/1/2024)
RR
Missouri(7/1/2024)
RR
Montana(7/1/2024)
RR
Nebraska(7/1/2024)
RR
Nevada(7/1/2024)
RR
New Hampshire(7/1/2024)
RR
New Jersey(7/1/2024)
RR
New Mexico(7/1/2024)
RR
New York(7/1/2024)
RR
North Carolina(7/1/2024)
RR
North Dakota(7/1/2024)
RR
Ohio(7/2/2024)
RR
Oklahoma(7/1/2024)
RR
Oregon(7/1/2024)
RR
Pennsylvania(7/1/2024)
RR
Puerto Rico(7/1/2024)
RR
Rhode Island(7/1/2024)
RR
South Carolina(7/1/2024)
RR
South Dakota(7/1/2024)
RR
Tennessee(7/1/2024)
RR
Texas(7/1/2024)
RR
Utah(7/1/2024)
RR
Vermont(7/1/2024)
RR
Virgin Islands(7/1/2024)
RR
Virginia(7/1/2024)
RR
Washington(7/1/2024)
RR
West Virginia(7/1/2024)
RR
Wisconsin(7/1/2024)
RR
Wyoming(7/1/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
General 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.
