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Nina F. Sagliocca

CLEARLIST SECURITIES LLC
New York, NY 10005
Some features on this profile are disabled
CRD#: 6074155
NS

Professional summary

Nina F Sagliocca, who also goes by Nina F Sagliocca, Nina Francis Sagliocca, is a registered financial professional currently at CLEARLIST SECURITIES LLC located in New York, New York and CLEARLIST LLC located in New York, New York.

Nina is registered as a RR (Registered Representative) and started their career in finance in 2014. Nina has worked at 3 firms and has passed the Series 66, Series 99TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nina F Sagliocca | Nina Francis Sagliocca

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.
1. ClearList Holdings LLC; Investment-Related: No; 40 Wall Street, 38th Floor New York, NY 10005; Holding Company; Chief Operating Officer; 03/04/2020; 10 hrs/month; 10 hrs/month during market hrs.; Manage Operations 2. Marco Homes LLC; Investment-Related: No; Private Residence; Real Estate; Member; 04/04/2022; .5hrs/month; 0 hrs/month during market hrs.; Member 3. Maxim Partners LLC; ; Investment-Related: Yes; 500 W. Madison St. Suite 1000 Chicago, IL 60661; Private Equity; Chief Administrative Officer; 03/20/2023; 120 hrs/month; 90 hrs/month during market hrs.; Responsible for all administration items

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nina F Sagliocca's CRS (Customer Relationship Summary).
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®
None

Experience

Current

February 4, 2021 - Present

CLEARLIST SECURITIES LLC

Office #1: 40 Wall Street 38th Floor, New York, NY 10005
BD
CRD#: 309455
New York, NY
Current

February 11, 2022 - Present

CLEARLIST LLC

Office #1: 40 Wall Street 38th Floor, New York, NY 10005
BD
CRD#: 308066
New York, NY
Past

May 17, 2021 - March 22, 2023

CLEARLIST SECURITIES LLC

RIA
CRD#: 309455
NEW YORK, NY
Past

August 10, 2020 - April 13, 2021

CLEARLIST LLC

BD
CRD#: 308066
New York, NY
Past

May 26, 2015 - July 19, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
NEW YORK, NY
Past

August 1, 2014 - July 19, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
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
New York
(3/4/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/23/2015
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/31/2014
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/24/2020
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

CL
CLEARLIST LLC
CLEARLIST LLC

CRD#: 308066 / SEC#: , 8-70504

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

Main Address
40 Wall Street 38th Floor, New York, NY 10005
Mailing Address
40 Wall Street 38th Floor, New York, NY 10005
Phone number
(212) 207-1350
Established
Delaware since 03/04/2020
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CLEARLIST HOLDINGS LLCSOLE MEMBER
CHAIKIN, KASSIDYDIRECTOR OF OPERATIONS7596402
KRZAK, ALEXANDER JACOBPOO6349160
MURPHY, PATRICK THOMASCHIEF EXECUTIVE OFFICER/CHIEF COMPLIANCE OFFICER2439168
PARISE, JANICE DRUFINOP, PFO2338583

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

CLEARLIST LLC

CRD#: 308066New York, NY 10005

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