Harsh A. Padia
Professional summary
Harsh A Padia is a registered financial professional currently at HAP TRADING, LLC located in New York, New York.
Harsh is registered as a RR (Registered Representative) and started their career in finance in 2003. Harsh has worked at 4 firms and has passed the Series 57TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Harsh A Padia's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 6, 2009 - Present
HAP TRADING, LLC
Office #1: 395 Hudson Street 10th Floor, New York, NY, 10014July 26, 2005 - February 6, 2009
TD ARRANGED SERVICES LLC
October 22, 2003 - March 31, 2005
SUSQUEHANNA SECURITIES, LLC
October 1, 2003 - March 17, 2005
SUSQUEHANNA INVESTMENT GROUP
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 ExamFINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Current Firm
HAP TRADING, LLC
CRD#: 44257 / SEC#: , 8-50599
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HAP CAPITAL ADVISORS, LLC | OWNER | |
| JOSEPH, MICHAEL DANIEL | CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER | 3008655 |
| KRUGER, JOHN ROBERT | PRINCIPAL FINANCIAL OFFICER, FINANCIAL & OPERATIONS PRINCIPAL | 4740278 |
| KRUGER, JOHN ROBERT | PRINCIPAL OPERATIONS OFFICER | 4740278 |
| PADIA, HARSH A | CEO & MEMBER | 2915065 |
| RXR LLC | MANAGING MEMBER |
Disclosures
| Regulatory Event | 10 |
Red Flags
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