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CH

Christopher T. Hutter

NASDAQ EXECUTION SERVICES
PHILADELPHIA, PA 19104
Some features on this profile are disabled
CRD#: 2659583
CH

Professional summary

Christopher Thomas Hutter, who also goes by Christopher T Hutter, is a registered financial professional currently at NASDAQ EXECUTION SERVICES, LLC located in Philadelphia, Pennsylvania.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 2012. Christopher has worked at 2 firms and has passed the SIE and Series 99 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christopher T Hutter

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) - BD

Click below to view Christopher Thomas Hutter's CRS (Customer Relationship Summary).

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

Current

November 25, 2013 - Present

NASDAQ EXECUTION SERVICES, LLC

Office #1: 2929 Walnut Street Fmc Tower, Level 8, Philadelphia, PA 19104
BD
CRD#: 7270
PHILADELPHIA, PA
Past

September 17, 2012 - April 8, 2014

NASDAQ CAPITAL MARKETS ADVISORY LLC

BD
CRD#: 104295
NEW YORK, NY

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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 99
Date: 9/14/2012
Operations Professional Examination
SRO Registrations
RR
FINRA

Current Firm

NE
NASDAQ EXECUTION SERVICES, LLC
BEAR STEARNS COMPUTER NETWORK INC. | THE BRUT ECN, L.L.C. | STRIKE TECHNOLOGIES LLC | NASDAQ EXECUTION SERVICES, LLC | COMMON BACK OFFICE, INC. | BSC SECURITIES CORP. | BRUT, LLC

CRD#: 7270 / SEC#: , 8-37329

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

Main Address
2929 Walnut Street Fmc Tower, Level 8, Philadelphia, PA 19104
Mailing Address
2929 Walnut Street Fmc Tower, Level 8, Philadelphia, PA 19104
Phone number
(215) 496-5000
Established
Delaware since 11/25/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
THE NASDAQ STOCK MARKET, LLCSOLE MEMBER
CRANE, LINDAPRINCIPAL FINANCIAL OFFICER / PRINCIPAL OPERATIONS OFFICER4374198
HINTON-MILLER, BRENDACHIEF COMPLIANCE OFFICER3208241
LAWN, DAVID EDWARDCHIEF EXECUTIVE OFFICER3155025
MARIGLIANO, DONALD EDWARD JRREGISTERED OPTIONS AND SECURITY FUTURES PRINCIPAL1843181

Disclosures

Regulatory Event10

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

NASDAQ EXECUTION SERVICES, LLC

CRD#: 7270Philadelphia, PA 19104

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