ADDITIONAL
DISCLOSURES

ClearList LLC and ClearList Securities LLC (collectively, “ClearList”) are registered U.S. Securities and Exchange Commission (“SEC”) broker-dealers, members of the Financial Industry Regulatory Authority, Inc. (“FINRA”). To meet regulatory requirements, ClearList is providing the below disclosures for your information. Should you have any questions regarding this letter, please contact compliance@clearlist.com. No action is required of you regarding the production of this disclosure notice.

FINRA Rule 2261

DISCLOSURE OF FINANCIAL INFORMATION TO CUSTOMERS

Pursuant to "FINRA Rule 2261: Disclosure of Financial Condition to Customers” issued by the Financial Industry Regulatory Authority ("FINRA"), ClearList will make available to customers on request information contained in our most recent balance sheet. If interested, please contact:

  • Email: compliance@clearlist.com
  • Subject Line: FINRA Rule 2261

Securities Exchange Act Rule 17a-3(a)(18)

CUSTOMER COMPLAINT DISCLOSURE

In the event a customer would like to register a complaint regarding ClearList, please contact us at the following address:

  • Email: compliance@clearlist.com
  • Subject Line: Customer Complaint

FINRA Rule 2267

INVESTOR EDUCATION AND PROTECTION

Pursuant to “FINRA Rule 2267: Investor Education and Protection”, ClearList would like to remind customers that they may obtain information regarding FINRA BrokerCheck and FINRA itself at the following contact details:

FINRA Website: https://www.finra.org/#/

FINRA BrokerCheck: https://brokercheck.finra.org/

FINRA BrokerCheck online informational website: https://www.finra.org/investors/investing/working-with-investment-professional/about-brokercheck

For further questions regarding FINRA BrokerCheck, please do not hesitate to call the BrokerCheck telephone hotline number at 800--289-9999.

FINRA Rule 2266

SECURITIES INVESTOR PROTECTION CORPORATION ("SIPC") DISCLOSURE NOTICE

Pursuant to “FINRA Rule 2266: SIPC Information to Customers”, ClearList would like to remind customers that they may obtain information about SIPC, including the SIPC brochure, by contacting SIPC at the following contact information:

SIPC Website: https://www.sipc.org/

SIPC Brochures: https://www.sipc.org/news-and-media/brochures

  • SIPC Mailing Address:
  • Securities Investor Protection Corporation (SIPC)
  • 1667 K St. N.W., Suite 1000, Washington, D.C. 20006-1620
  • Telephone: 202-371-8300
  • Fax: 202-223-1679
  • Email: asksipc@sipc.org

USA PATRIOT ACT ANTI-MONEY LAUNDERING NOTICE

Under the U.S. Patriot Act, we are required to establish and maintain an anti-money laundering program containing policies and procedures to know our customers. To help the government fight the funding of terrorism and money laundering activities, Federal law requires financial institutions to obtain, verify, and record information that identifies each person who establishes a relationship with the Firm. What this means for you: When you establish a relationship with the Firm, we will ask for your name, address, date of birth and other information that will allow us to identify you. We may also ask to see your driver’s license or other identifying documents.

FINRA Rule 4370

Business Continuity Plan Disclosure "BCP"

ClearList Holdings LLC and its affiliates, including, but not limited to, ClearList LLC, Member: FINRA & SIPC, ClearList Securities LLC: Member FINRA & SIPC and ClearList Capital LLC (collectively, “ClearList” or the “Firm”) are committed to safeguarding the interests of our subscribers in the event of an emergency or significant business disruption. This Business Continuity Plan (the “BCP”) Disclosure summarizes ClearList’s efforts to mitigate risks inherent with unforeseen business interruptions. ClearList’s comprehensive business continuity strategy is designed to enable us to meet our existing obligations to our subscribers even in the event of an emergency or significant business disruption (“SBD”).  This BCP is intended to comply with the rules promulgated by the Financial Industry Regulatory Authority, Inc. (“FINRA”).

ClearList’s policy is to respond to significant business disruptions by safeguarding Associated Persons’ lives and Firm property, making a financial and operational assessment, quickly recovering and resuming operations, protecting all of ClearList’s books and records, and ensuring that our customers can continue to transact business. Examples of potential scenarios that might cause some changes to our regular business operations:

  • In the event an SBD of any type which affects our primary office in New York, we will transfer our business operations to one or more remote sites in the United States.
  • We do not anticipate that power outages at our primary office will require us to shut down our business.

No contingency plan can eliminate all risk of service interruption or temporarily impaired access to ClearList. We will evaluate and revise our BCP to address risks to the extent possible. In developing our BCP, we have made certain assumptions regarding accessibility and availability of alternative facilities, the ability of a sufficient number of our personnel to man our systems, and external organizations including securities markets and government agencies being operational. If these assumptions are not valid under particular circumstances, we will evaluate possibilities for minimizing the disruption to services as feasible at that time.

We will update the BCP as needed in the event of changes to our business processes, technology and staff. We will continue to post updated information on our website. Users may also obtain our current BCP summary by submitting a written request to:

  • Email: compliance@clearlist.com
  • Subject Line: Business Continuity Plan

Disclaimer

ClearList’s comprehensive business continuity strategy is designed to enable us to meet our existing obligations to our customers even in the event of an emergency or significant business disruption; however it is not without limits. The BCP is designed to work in many different emergency situations, but these events are, by their nature, unpredictable and it is impossible to anticipate every scenario that could cause a business disruption.

Although we are confident in our own preparedness, ClearList has no control over the various entities that we must rely upon in the event of an emergency. Our BCP is tested periodically to ensure readiness. However, such tests may not be able to replicate the actual conditions we experience in a real emergency.

This BCP disclosure statement is subject to change without notice. In the event that the BCP or the BCP disclosure statement is modified, the updated document will be promptly posted on the ClearList internet website. Alternatively, customers of ClearList may obtain an updated hard copy of the BCP disclosure statement upon request. The information contained in this BCP disclosure statement is provided by ClearList for informational purposes only. Nothing contained herein shall be construed to amend, supplement or otherwise modify any of the terms and conditions set forth in any customer agreement between you and ClearList.

Sales Associate

Brian Doherty

Brian works with investors and private companies to connect capital with opportunities across the private markets. Before joining ClearList, he built his career in advertising and media sales, where he focused on client relationships, business development, and strategic partnerships. Today, he concentrates on sourcing private market opportunities, building long-term investor relationships, and helping connect buyers and sellers across alternative investments. Brian was drawn to ClearList's entrepreneurial culture and the opportunity to help build a platform expanding access and transparency in private markets. Outside of work, he enjoys spending time on the water, boating, fishing, and staying active outdoors.

Chief Information Officer

Whitney White

Whitney is Chief Information Officer at ClearList, where he leads the firm's technology strategy, cybersecurity, and transaction infrastructure. He brings more than two decades of experience building technology solutions for capital markets, having previously served as a software engineer, architect, CTO, COO, and Head of Equity Capital Markets. Most recently, he co-founded a custodian and transfer agent for alternative assets that was acquired in 2024. At ClearList, Whitney focuses on making private market transactions more efficient through technology while strengthening the firm's infrastructure and security. He was drawn to ClearList's mission of modernizing the infrastructure that supports private markets. Outside of work, Whitney enjoys traveling, sailing, and cooking elaborate meals for family and friends.

Vice President

Neil Tapia

Neil is Vice President at ClearList, where he works across private market transactions, investor relations, and business development. Prior to joining ClearList, he held multiple roles at GTS, one of the world's leading electronic trading and market-making firms, with experience spanning market making, trading, and capital markets. His background across both public and private markets provides a unique perspective on liquidity, market structure, and capital formation. Neil focuses on originating and executing private market transactions, expanding investor and distribution relationships, and supporting the continued growth of the ClearList platform. He was drawn to ClearList's mission of improving access, transparency, and liquidity in private markets as this asset class continues to evolve. Outside of work, Neil enjoys traveling, staying active, and spending time on the golf course.

Director of Private Markets

Gavin Vice

Gavin has more than 25 years of experience in the financial markets, beginning his career on the floor of the New York Stock Exchange after earning an engineering degree from Bucknell University. Throughout his career, he has focused on trading and market structure across the public markets. At ClearList, Gavin works closely with investors to source and facilitate private market opportunities through funds and direct introductions between buyers and sellers. He joined ClearList because of its vision to expand access and liquidity within the private markets by applying proven public market expertise. Outside of work, Gavin enjoys golfing and fishing on the Great South Bay off the coast of Long Island.

 Chief Compliance Officer

Rick Gillette

Rick brings more than 20 years of experience in broker-dealer operations, securities regulation, and financial markets. At ClearList, he focuses on regulatory compliance and helping ensure the firm operates with the highest standards of integrity and oversight. He was drawn to ClearList by its commitment to putting clients first while building innovative solutions for the private markets. Outside of work, Rick enjoys reading, skateboarding, and cooking authentic Chinese cuisine.

Chief Executive Officer

Patrick Murphy

Patrick is Chief Executive Officer of ClearList. He is also Head of NYSE Market Making and Listing Services at GTS and brings more than 30 years of experience across market structure, liquidity, and capital formation. Beginning his career on the floor of the New York Stock Exchange in 1992, Patrick has held senior leadership roles at Bear Stearns, JP Morgan, Barclays, and GTS, participating in more than 500 IPOs throughout his career. At ClearList, he focuses on expanding access to private markets and building infrastructure that improves capital formation, transparency, and liquidity. Patrick co-founded ClearList after recognizing that many of the world's most innovative companies were creating significant value while remaining private, inspiring a mission to broaden access to private market opportunities. Outside of work, Patrick enjoys golfing, surfing, and traveling.

Chief Operating Officer

Kassidy Chaikin

Kassidy is Chief Operating Officer of ClearList, where she oversees the firm's day-to-day operations across its affiliated entities while supporting strategic growth initiatives. Since joining ClearList in 2023 after beginning her career with the GTS Designated Market Maker business, she has played a key role in building the firm's operational infrastructure. Her work spans every department, helping ensure the firm's operations, strategy, and execution remain aligned as ClearList continues to grow. Kassidy was drawn to ClearList's mission of improving access, transparency, and liquidity in the private markets, helping broaden participation in an asset class that has historically been difficult to access. She holds bachelor's degrees in Statistics and Philosophy, Politics & Law, along with a master's degree in Statistics from Binghamton University. Outside of work, Kassidy enjoys running, cooking, attending Broadway shows and traveling to experience new cultures.

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