Matthew A. Carpenter
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.
Matthew Andrew Carpenter was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 1997. Matthew had worked at 11 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 25, 2020 - October 22, 2024
HRT FINANCIAL LP
November 25, 2020 - October 22, 2024
HRT EXECUTION SERVICES LLC
November 2, 2015 - August 28, 2020
XR SECURITIES LLC
September 12, 2013 - April 20, 2015
VIRTU AMERICAS LLC
November 4, 2011 - June 11, 2014
OCTEG, LLC
September 27, 2010 - August 19, 2011
RBC CAPITAL MARKETS, LLC
March 26, 2008 - May 26, 2009
JANE STREET TRADING, LLC
September 26, 2003 - May 26, 2009
JANE STREET CAPITAL, LLC
September 17, 2003 - December 16, 2003
JANE STREET CAPITAL, LLC
May 21, 2001 - May 26, 2009
JANE STREET MARKETS, LLC
January 1, 1998 - April 5, 2000
BERNARD L. MADOFF INVESTMENT SECURITIES LLC
July 24, 1997 - December 5, 1997
SANFORD C. BERNSTEIN & CO., 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
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 3/25/1999
Limited Representative-Equity Trader ExamCurrent Firm
HRT FINANCIAL LP
CRD#: 152144 / SEC#: , 8-68430
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HUDSON RIVER TRADING LLC | LIMITED PARTNER | |
| ALCALA, MIKAELA | AML COMPLIANCE OFFICER | 7523021 |
| BLOCK, NACHSHON M | CHIEF FINANCIAL OFFICER | 7192815 |
| CARROLL, JASON EASTWICK | CHIEF OPERATING OFFICER | 5173598 |
| HRT GP LLC | GENERAL PARTNER | |
| JUSTINI, PETER THOMAS | FINOP | 2097898 |
| KLOIN, SCOTT | CHIEF COMPLIANCE OFFICER | 4971326 |
| NUNES, ADAM SETH | CHIEF EXECUTIVE OFFICER | 5246806 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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