NH
Nicholas H. Hemmerly
CLEAR STREET LLC
West Palm Beach, FL 33401
Some features on this profile are disabled
CRD#: 5006256
NH
Professional summary
Nicholas Harris Hemmerly, who also goes by Nicholas Hemmerly, is a registered financial professional currently at CLEAR STREET LLC located in West Palm Beach, Florida.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2005. Nicholas has worked at 10 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Nicholas Hemmerly
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 Nicholas Harris Hemmerly'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 10, 2023 - Present
CLEAR STREET LLC
Office #1: 101 N. Clematis Street Suite 200, West Palm Beach, FL 33401BD
CRD#: 288933
West Palm Beach, FL
Past
April 8, 2020 - July 19, 2023
ENTORO SECURITIES, LLC
BD
CRD#: 35192
HOUSTON, TX
Past
April 1, 2016 - February 20, 2020
PRICEWATERHOUSECOOPERS CORPORATE FINANCE LLC
BD
CRD#: 41461
NEW YORK, NY
Past
July 15, 2014 - March 14, 2016
JEFFERIES LLC
BD
CRD#: 2347
NEW YORK, NY
Past
July 26, 2013 - July 14, 2014
CITIZENS JMP SECURITIES, LLC
BD
CRD#: 22208
SAN FRANCISCO, CA
Past
August 21, 2012 - July 23, 2013
SMG SECURITIES, INC.
BD
CRD#: 17406
NEW YORK, NY
Past
April 14, 2010 - February 29, 2012
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
December 6, 2007 - August 11, 2008
MORGAN JOSEPH TRIARTISAN CAPITAL LLC
BD
CRD#: 122351
NEW YORK, NY
Past
July 20, 2006 - July 31, 2007
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
CHARLOTTE, NC
Past
December 1, 2005 - April 28, 2006
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
MALVERN, PA
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(1/31/2024)
RR
Alaska(7/19/2023)
RR
Arizona(2/7/2024)
RR
Arkansas(2/5/2024)
RR
California(7/11/2023)
RR
Colorado(7/18/2023)
RR
Connecticut(7/10/2023)
RR
Delaware(7/20/2023)
RR
District of Columbia(7/25/2023)
RR
Florida(7/11/2023)
RR
Georgia(7/11/2023)
RR
Hawaii(1/31/2024)
RR
Idaho(7/11/2023)
RR
Illinois(2/2/2024)
RR
Indiana(4/4/2024)
RR
Iowa(7/13/2023)
RR
Kansas(7/17/2023)
RR
Kentucky(2/1/2024)
RR
Louisiana(7/17/2023)
RR
Maine(7/12/2023)
RR
Maryland(2/9/2024)
RR
Massachusetts(2/9/2024)
RR
Michigan(7/14/2023)
RR
Minnesota(7/20/2023)
RR
Mississippi(7/18/2023)
RR
Missouri(7/11/2023)
RR
Montana(7/11/2023)
RR
Nebraska(7/10/2023)
RR
Nevada(2/8/2024)
RR
New Hampshire(7/24/2023)
RR
New Jersey(7/17/2023)
RR
New Mexico(7/11/2023)
RR
New York(7/10/2023)
RR
North Carolina(7/12/2023)
RR
North Dakota(7/17/2023)
RR
Ohio(7/11/2023)
RR
Oklahoma(7/19/2023)
RR
Oregon(7/11/2023)
RR
Pennsylvania(7/17/2023)
RR
Puerto Rico(7/13/2023)
RR
Rhode Island(7/20/2023)
RR
South Carolina(7/17/2023)
RR
South Dakota(7/25/2023)
RR
Tennessee(7/21/2023)
RR
Texas(7/10/2023)
RR
Utah(10/24/2023)
RR
Vermont(7/17/2023)
RR
Virgin Islands(7/17/2023)
RR
Virginia(7/19/2023)
RR
Washington(7/20/2023)
RR
West Virginia(7/17/2023)
RR
Wisconsin(7/11/2023)
RR
Wyoming(7/14/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral 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
MIAX PEARL, 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 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
