WS
Wim Shih
CLEAR STREET LLC
New York, NY 10007
Some features on this profile are disabled
CRD#: 5682926
WS
Professional summary
Wim Shih, who also goes by Wim T Shih, is a registered financial professional currently at CLEAR STREET LLC located in New York, New York.
Wim is registered as a RR (Registered Representative) and started their career in finance in 2009. Wim has worked at 8 firms and has passed the Series 63, Series 99TO, Series 57TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Wim T Shih
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 Wim Shih'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
March 27, 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
December 11, 2019 - March 26, 2024
TD PRIME SERVICES LLC
BD
CRD#: 1914
NEW YORK, NY
Past
December 10, 2014 - January 22, 2018
WELLS FARGO PRIME SERVICES, LLC
BD
CRD#: 133068
SAN FRANCISCO, CA
Past
July 29, 2014 - December 12, 2019
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
NEW YORK, NY
Past
October 4, 2013 - July 14, 2014
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
NEW YORK, NY
Past
October 4, 2013 - July 14, 2014
J.P. MORGAN CLEARING CORP.
BD
CRD#: 28432
NEW YORK, NY
Past
August 14, 2009 - July 15, 2013
VIRTU AMERICAS LLC
BD
CRD#: 149823
JERSEY CITY, NJ
Past
July 28, 2009 - November 8, 2012
KNIGHT CAPITAL AMERICAS, L.P.
BD
CRD#: 38599
JERSEY CITY, NJ
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(3/27/2024)
RR
Alaska(3/27/2024)
RR
Arizona(3/27/2024)
RR
Arkansas(3/27/2024)
RR
California(3/27/2024)
RR
Colorado(3/27/2024)
RR
Connecticut(3/27/2024)
RR
Delaware(3/27/2024)
RR
District of Columbia(3/27/2024)
RR
Florida(3/27/2024)
RR
Georgia(3/27/2024)
RR
Hawaii(3/27/2024)
RR
Idaho(3/27/2024)
RR
Illinois(3/27/2024)
RR
Indiana(3/27/2024)
RR
Iowa(3/27/2024)
RR
Kansas(3/27/2024)
RR
Kentucky(3/27/2024)
RR
Louisiana(3/27/2024)
RR
Maine(3/27/2024)
RR
Maryland(3/27/2024)
RR
Massachusetts(3/27/2024)
RR
Michigan(3/27/2024)
RR
Minnesota(3/27/2024)
RR
Mississippi(3/27/2024)
RR
Missouri(3/27/2024)
RR
Montana(3/27/2024)
RR
Nebraska(3/27/2024)
RR
Nevada(3/27/2024)
RR
New Hampshire(3/27/2024)
RR
New Jersey(3/27/2024)
RR
New Mexico(3/27/2024)
RR
New York(3/27/2024)
RR
North Carolina(3/27/2024)
RR
North Dakota(3/27/2024)
RR
Ohio(3/27/2024)
RR
Oklahoma(3/27/2024)
RR
Oregon(3/27/2024)
RR
Pennsylvania(3/27/2024)
RR
Puerto Rico(3/27/2024)
RR
Rhode Island(3/27/2024)
RR
South Carolina(3/27/2024)
RR
South Dakota(3/27/2024)
RR
Tennessee(3/27/2024)
RR
Texas(3/27/2024)
RR
Utah(3/27/2024)
RR
Vermont(3/27/2024)
RR
Virgin Islands(3/27/2024)
RR
Virginia(3/27/2024)
RR
Washington(3/27/2024)
RR
West Virginia(3/27/2024)
RR
Wisconsin(3/27/2024)
RR
Wyoming(3/27/2024)
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
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 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.
