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Maurice E. Bensoussan

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CRD#: 5581873
MB

Professional summary

Maurice Elyezer Bensoussan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Maurice is a previously registered financial professional and started their career in finance in 2011. Prior to being barred, Maurice had worked at 2 firms, which includes CLEARPOOL EXECUTION SERVICES LLC, WTS PROPRIETARY TRADING GROUP LLC.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Maurice Bensoussan

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

August 25, 2014 - February 24, 2016

CLEARPOOL EXECUTION SERVICES, LLC

BD
CRD#: 168490
NEW YORK, NY
Past

April 4, 2011 - April 3, 2012

WTS PROPRIETARY TRADING GROUP LLC

BD
CRD#: 148117
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

Current Firm

CE
CLEARPOOL EXECUTION SERVICES, LLC
CLEARPOOL EXECUTION SERVICES, LLC

CRD#: 168490 / SEC#: , 8-69313

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

Main Address
17 State Street 38th Floor, New York, NY, 10004
Mailing Address
17 State Street 38th Floor, New York, NY, 10004
Phone number
(212) 531-8500
Established
New York since 05/07/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (26 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
BMO FINANCIAL CORP.SHAREHOLDER
BRICKLEY, THOMAS JOHNFINOP3028843
FORLENZA, MICHAELPRESIDENT5886049
WOODWARD, JOEL EDWARDCHIEF FINANCIAL OFFICER5467904
YUKILEVICH, DANIELCHIEF COMPLIANCE OFFICER5635481

Disclosures

Regulatory Event19

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

CLEARPOOL EXECUTION SERVICES, LLC

CRD#: 168490

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