Louise A. Harstad
Professional summary
Louise Ann Harstad, who also goes by Louise Ann Heffler, is a registered financial professional currently at TRADEWEB DIRECT LLC located in Jersey City, New Jersey.
Louise is registered as a RR (Registered Representative) and started their career in finance in 1985. Louise has worked at 4 firms and has passed the Series 63, SIE and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Louise Ann Harstad's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 6, 2019 - Present
TRADEWEB DIRECT LLC
Office #1: 185 Hudson Street Harborside 5, Suite 22, Jersey City, NJ 07311October 11, 2011 - September 16, 2019
DEALERWEB LLC
March 11, 2004 - October 7, 2011
RAFFERTY CAPITAL MARKETS, LLC
May 10, 1991 - April 29, 2004
J.J. KENNY DRAKE, INC.
December 10, 1985 - June 5, 1990
J.J. KENNY DRAKE, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/6/2019)
Exams
FINRA
Current Firm
TRADEWEB DIRECT LLC
CRD#: 103787 / SEC#: , 8-52278
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BONDDESK GROUP LLC | OWNER | |
| BRUNER, CHRISTIAN ADAM | BOARD MEMBER | 5661505 |
| CAHALANE, JOHN JOSEPH | PRESIDENT | 2922033 |
| CLACK, AMY | BOARD MEMBER | 4882071 |
| FRIEDMAN, DOUGLAS L. | GENERAL COUNSEL | 5121291 |
| MCGUIRE, MICHAEL TERRENCE | CHIEF COMPLIANCE OFFICER | 2267871 |
| PITTINSKY, JONATHAN DAVID | CHIEF FINANCIAL OFFICER AND FINANCIAL OPERATIONS PRINCIPAL | 4291263 |
| SERRAO, ASHLEY NEIL | BOARD MEMBER | 5360541 |
| WOOD, ELISABETH KIRBY | BOARD MEMBER | 4929181 |
Disclosures
| Regulatory Event | 2 |
Red Flags
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