Neil Tapia
Professional Summary
Neil Tapia, who also goes by Neil Thomas Tapia, is a registered financial advisor currently at GTS EXECUTION SERVICES LLC located in New York, New York and CLEARLIST SECURITIES LLC located in New York, New York. Neil is registered as a RR (Registered Representative) and started their career in finance in 2023. Neil has worked at 4 firms and has passed the Series 63, Series 57TO, Series 7TO, Series 19, SIE, Series 24 and Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Neil Thomas Tapia
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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
4 years in the financial services industry
Current & Past Employments
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Current Firm
CLEARLIST LLC
Contact Information
Main Address
625 6th Avenue 3rd Floor, New York, NY 10011Mailing Address
625 6th Avenue 3rd Floor, New York, NY 10011Phone Number
(212) 207-1350Established
Delaware since 03/04/2020Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (3 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CLEARLIST HOLDINGS LLC | SOLE MEMBER | — |
| CHAIKIN, KASSIDY | CHIEF OPERATING OFFICER | 7596402 |
| GILLETTE, CHARLES P | CHIEF COMPLIANCE OFFICER | 3174027 |
| KRZAK, ALEXANDER JACOB | POO | 6349160 |
| MURPHY, PATRICK THOMAS | CHIEF EXECUTIVE OFFICER | 2439168 |
| PARISE, JANICE DRU | FINOP, PFO | 2338583 |
| WHITE, WHITNEY JAMES | CHIEF INFORMATION OFFICER, PRESIDENT | 3093386 |
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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
(1/6/2026)
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(8/20/2025)
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(10/13/2025)
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(10/28/2025)
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(1/6/2026)
(6/21/2022)
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(1/6/2026)
(1/6/2026)
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(1/6/2026)
(1/6/2026)
(1/6/2026)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 19 — NYSE Floor Clerk - Equities Examination
Passed Mar 2022SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Neil Tapia's CRS (Customer Relationship Summary).
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