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AH

Austin M. Hively-johnson

Some features on this profile are disabled
CRD#: 2175386
AH

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Austin Mark Hively-johnson, who also goes by Mark Hively, Austin Mark Hively-johnson, Austin Mark Hively-johnson, Austin Mark Hivelyjohnson, was a registered financial professional .

Austin is a previously registered financial professional and started their career in finance in 2000. Austin had worked at 13 firms and has passed the Series 27 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mark Hively | Austin Mark Hively-Johnson | Austin Mark Hively-Johnson | Austin Mark Hivelyjohnson

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.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

November 7, 2023 - November 20, 2023

NATISA SECURITIES LLC

BD
CRD#: 323904
WESTCHESTER, IL
Past

August 22, 2023 - October 22, 2025

STG SECURITIES, LLC

BD
CRD#: 322438
NEW YORK, NY
Past

September 24, 2020 - January 5, 2021

DV SECURITIES, LLC

BD
CRD#: 305134
CHICAGO, IL
Past

May 21, 2019 - November 26, 2019

GENTCO TRADING GROUP LP

BD
CRD#: 168655
CHICAGO, IL
Past

July 10, 2017 - September 4, 2018

GENTCO TRADING GROUP LP

BD
CRD#: 168655
CHICAGO, IL
Past

August 7, 2013 - May 3, 2016

LUPO FUTURES, LLC

BD
CRD#: 155931
CHICAGO, IL
Past

July 26, 2013 - September 24, 2014

TORO CAPITAL MANAGEMENT LLC

BD
CRD#: 145696
CHICAGO, IL
Past

May 20, 2011 - July 16, 2013

TORO CAPITAL MANAGEMENT LLC

BD
CRD#: 145696
CHICAGO, IL
Past

May 20, 2011 - July 1, 2014

IMC SECURITIES LLC

BD
CRD#: 144874
CHICAGO, IL
Past

May 20, 2011 - September 26, 2014

MUSTANG TRADING, LLC

BD
CRD#: 131608
CHICAGO, IL
Past

May 20, 2011 - March 2, 2015

V. DERIVATIVES, LLC

BD
CRD#: 151893
CHICAGO, IL
Past

June 17, 2009 - October 20, 2020

LUPO SECURITIES, LLC

BD
CRD#: 43761
CHICAGO, IL
Past

July 15, 2005 - January 30, 2009

MERRILL LYNCH PROFESSIONAL CLEARING CORP.

BD
CRD#: 16139
CHICAGO, IL
Past

September 1, 2000 - June 28, 2005

PAX CLEARING CORPORATION

BD
CRD#: 104263
CHICAGO, IL
Past

May 30, 2000 - September 1, 2000

PAX CLEARING COMPANY LIMITED PARTNERSHIP

BD
CRD#: 30688
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

Principal/Supervisory Exam
RR
Series 27
Date: 8/17/2023
Financial and Operations Principal Examination

Current Firm

NS
NATISA SECURITIES LLC
NATISA SECURITIES LLC

CRD#: 323904 / SEC#: , 8-71010

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
11221 Summerdale St, Westchester, IL 60154
Mailing Address
11221 Summerdale St, Westchester, IL 60154
Phone number
(312) 914-9431
Established
Illinois since 05/02/2022
Firm type
Limited Liability Company
Fiscal year end
September
Firm Size
Small
# of Employees

FINRA licenses (2 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
HERMOSA HOLDINGS LLCPARENT COMPANY
BRENNAN, THOMAS PETERPRINCIPAL & CHIEF EXECUTIVE OFFICER2672134
OWEN, PETER EUGEANFINOP PRINCIPAL FINANCIAL OFFICER & PRINCIPAL OPERATIONS OFFICER5657792
SPIROFF, PATRICK GEORGECHIEF COMPLIANCE OFFICER2003622

Red Flags

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.

Company Information

NATISA SECURITIES LLC

CRD#: 323904

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