Neil T. Tapia
Professional summary
Neil Thomas Tapia, who also goes by Neil Thomas Tapia, is a registered financial professional 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 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Neil Thomas Tapia's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 10, 2022 - Present
GTS EXECUTION SERVICES LLC
Office #1: 625 Avenue Of Americas 3rd Floor, New York, NY 10011June 30, 2025 - Present
CLEARLIST SECURITIES LLC
Office #1: 40 Wall Street 38th Floor, New York, NY 10005June 30, 2025 - Present
CLEARLIST LLC
Office #1: 40 Wall Street 38th Floor, New York, NY 10005February 14, 2023 - May 3, 2024
GTS SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/20/2025)
(10/13/2025)
(10/28/2025)
(6/21/2022)
Exams
Series 57TO
Date: 8/2/2022
Securities Trader ExamSeries 7TO
Date: 5/25/2022
General Securities Representative ExaminationSeries 19
Date: 3/25/2022
NYSE Floor Clerk - Equities ExaminationFINRA
New York Stock Exchange
Current Firm
CLEARLIST LLC
CRD#: 308066 / SEC#: , 8-70504
Contact information
FINRA licenses (3 States and Territories)
Red Flags
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