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Tor Gunnar Soderquist

CLEARINGBID MARKETS
RYE, NY
·CRD# 6660103·10 years experience

Professional Summary

Tor Gunnar Soderquist is a registered financial advisor currently at CLEARINGBID MARKETS, INC. located in Rye, New York. Tor is registered as a RR (Registered Representative) and started their career in finance in 2016. Tor has worked at 1 firm and has passed the SIE and Series 99 exams.

At a Glance

Best-Interest Standard

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

10 years in the financial services industry

Current & Past Employments

CLEARINGBID MARKETS, INC.·CRD# 269999
BD
411 Theodore Fremd Ave Suite 206, Rye, NY 10850
September 21, 2016 - Present

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Current Firm

CM
CLEARINGBID MARKETS, INC.

CLEARINGBID MARKETS, INC.

CRD#: 269999 / SEC#: 8-69646
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)

Contact Information

Main Address

411 Theodore Fremd Ave Suite 206, Rye, NY 10850

Mailing Address

411 Theodore Fremd Ave Suite 3c, Rye, NY 10580

Phone Number

(212) 752-1700

Established

Delaware since 03/20/2015

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

FINRA licenses (3 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

NamePositionCRD#
CLEARINGBID, INC.OWNER—
PELLICANO, CARA ELAINECCO4228678
ROCHE, PASCALFINOP5920968
SCANLON, EDWIN CCCO / CEO1665407

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 99 — Operations Professional Examination

Passed Sep 2016About the Series 99 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - BD

Click below to view Tor Gunnar Soderquist's CRS (Customer Relationship Summary).

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