Richard Harriton
Professional summary
Richard Harriton was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial professional and started their career in finance in 1971. Prior to being barred, Richard had worked at 8 firms, which includes NASDAQ EXECUTION SERVICES LLC, J.P. MORGAN CLEARING CORP., INSTITUTIONAL DIRECT INC., BROKERS' SOFT DOLLAR INC., BEAR STEARNS SPECIALIST INC., J.P. MORGAN SECURITIES LLC, FIRST WALL STREET SETTLEMENT CORPORATION, LOEB RHOADES & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 5, 1998 - August 30, 1999
NASDAQ EXECUTION SERVICES, LLC
June 25, 1991 - August 30, 1999
J.P. MORGAN CLEARING CORP.
May 23, 1990 - May 21, 1998
NASDAQ EXECUTION SERVICES, LLC
July 12, 1989 - November 14, 1996
INSTITUTIONAL DIRECT INC.
August 24, 1988 - July 24, 1989
BROKERS' SOFT DOLLAR, INC.
October 9, 1987 - February 1, 1988
BEAR STEARNS SPECIALIST INC.
March 5, 1987 - May 21, 1998
NASDAQ EXECUTION SERVICES, LLC
January 24, 1980 - August 30, 1999
J.P. MORGAN SECURITIES LLC
March 20, 1978 - February 8, 1980
FIRST WALL STREET SETTLEMENT CORPORATION
December 10, 1971 - May 6, 1977
LOEB, RHOADES & CO., INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 41
Date: 3/15/1978
NYSE Allied Member ExaminationSeries 12
Date: 1/24/1980
NYSE Branch Manager ExaminationSeries 40
Date: 3/9/1978
Registered Principal ExaminationCurrent Firm
NASDAQ EXECUTION SERVICES, LLC
CRD#: 7270 / SEC#: , 8-37329
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE NASDAQ STOCK MARKET, LLC | SOLE MEMBER | |
| CRANE, LINDA | PRINCIPAL FINANCIAL OFFICER / PRINCIPAL OPERATIONS OFFICER | 4374198 |
| HINTON-MILLER, BRENDA | CHIEF COMPLIANCE OFFICER | 3208241 |
| LAWN, DAVID EDWARD | CHIEF EXECUTIVE OFFICER | 3155025 |
| MARIGLIANO, DONALD EDWARD JR | REGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL | 1843181 |
Disclosures
| Regulatory Event | 10 |
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