RT
Royce H. Tsuji
CLEAR STREET LLC
Del Mar, CA 92014
Some features on this profile are disabled
CRD#: 5084003
RT
Professional summary
Royce Hiroshi Tsuji, who also goes by Royce Tsuji, is a registered financial professional currently at CLEAR STREET LLC located in Del Mar, California.
Royce is registered as a RR (Registered Representative) and started their career in finance in 2006. Royce has worked at 7 firms and has passed the Series 66, Series 99TO, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Royce Tsuji
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 Royce Hiroshi Tsuji'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
September 27, 2022 - Present
CLEAR STREET LLC
Office #1: 2010 Jimmy Durante Blvd, Suite 270 , Del Mar, CA 92014BD
CRD#: 288933
Del Mar, CA
Past
February 11, 2021 - August 31, 2021
CLEAR STREET LLC
BD
CRD#: 288933
NEW YORK, NY
Past
February 27, 2015 - December 12, 2016
VELOCITY CAPITAL, LLC
BD
CRD#: 171810
SAN DIEGO, CA
Past
September 18, 2014 - July 11, 2023
PRECISION SECURITIES, LLC
BD
CRD#: 103976
DEL MAR, CA
Past
November 19, 2012 - October 31, 2014
BOURSA INVESTMENTS
BD
CRD#: 152516
SAN DIEGO, CA
Past
May 2, 2011 - November 16, 2012
CAPSTONE INVESTMENTS
BD
CRD#: 41400
SAN DIEGO, CA
Past
March 3, 2008 - July 27, 2010
THOMAS WEISEL PARTNERS LLC
RIA
CRD#: 46237
SAN FRANCISCO, CA
Past
March 3, 2008 - July 27, 2010
THOMAS WEISEL PARTNERS LLC
BD
CRD#: 46237
SAN FRANCISCO, CA
Past
July 17, 2007 - January 8, 2008
LPL FINANCIAL LLC
RIA
CRD#: 6413
SAN DIEGO, CA
Past
December 12, 2006 - January 8, 2008
LPL FINANCIAL LLC
BD
CRD#: 6413
SAN DIEGO, CA
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(11/21/2022)
RR
Alaska(12/19/2022)
RR
Arizona(12/5/2022)
RR
Arkansas(11/22/2022)
RR
California(9/28/2022)
RR
Colorado(11/22/2022)
RR
Connecticut(11/21/2022)
RR
Delaware(11/21/2022)
RR
District of Columbia(11/29/2022)
RR
Florida(11/22/2022)
RR
Georgia(11/28/2022)
RR
Hawaii(1/10/2023)
RR
Idaho(11/21/2022)
RR
Illinois(2/15/2023)
RR
Indiana(4/27/2023)
RR
Iowa(11/21/2022)
RR
Kansas(11/21/2022)
RR
Kentucky(11/23/2022)
RR
Louisiana(11/22/2022)
RR
Maine(11/21/2022)
RR
Maryland(11/23/2022)
RR
Massachusetts(11/21/2022)
RR
Michigan(11/29/2022)
RR
Minnesota(3/13/2023)
RR
Mississippi(11/21/2022)
RR
Missouri(11/21/2022)
RR
Montana(11/21/2022)
RR
Nebraska(11/21/2022)
RR
Nevada(7/25/2023)
RR
New Hampshire(12/1/2022)
RR
New Jersey(11/21/2022)
RR
New Mexico(11/22/2022)
RR
New York(11/22/2022)
RR
North Carolina(11/22/2022)
RR
North Dakota(11/29/2022)
RR
Ohio(11/21/2022)
RR
Oklahoma(11/30/2022)
RR
Oregon(11/23/2022)
RR
Pennsylvania(11/22/2022)
RR
Puerto Rico(11/30/2022)
RR
Rhode Island(12/2/2022)
RR
South Carolina(11/22/2022)
RR
South Dakota(11/21/2022)
RR
Tennessee(11/23/2022)
RR
Texas(11/22/2022)
RR
Utah(12/20/2022)
RR
Vermont(11/21/2022)
RR
Virgin Islands(11/23/2022)
RR
Virginia(11/21/2022)
RR
Washington(1/4/2023)
RR
West Virginia(12/1/2022)
RR
Wisconsin(11/22/2022)
RR
Wyoming(11/21/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 7/14/2011
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory 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 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)
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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.
