Michael D. Joseph

HAP TRADING

NEW YORK, NY 10014

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CRD#: 3008655

Professional summary

Michael Daniel Joseph is a registered financial professional currently at HAP TRADING, LLC located in New York, New York.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1998. Michael has worked at 4 firms and has passed the Series 99TO, Series 57TO, SIE, Series 7, Series 14 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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 Michael Daniel Joseph'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

September 4, 2009 - Present

HAP TRADING, LLC

Office #1: 395 Hudson Street 10th Floor, New York, NY, 10014

CRD#: 44257

NEW YORK, NY

Past

December 2, 2021 - May 23, 2022

OPAL SECURITIES, INC.

CRD#: 8246

NEW YORK, NY

Past

July 11, 2014 - November 18, 2021

OPAL SECURITIES, INC.

CRD#: 8246

NEW YORK, NY

Past

December 21, 2010 - June 27, 2014

OPAL SECURITIES, INC.

CRD#: 8246

NEW YORK, NY

Past

May 26, 1998 - July 27, 1999

PERSHING LLC

CRD#: 7560

JERSEY CITY, NJ

Past

March 11, 1998 - June 2, 1998

FIRST CLEARING, LLC

CRD#: 17344

ST. LOUIS, MO

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

Series 99TO

Date: 7/11/2024

Operations Professional Examination

General Industry/Product Exam

Series 57TO

Date: 1/2/2023

Securities Trader Exam

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/15/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 14

Date: 1/2/2023

Compliance Officer Examination

Principal/Supervisory Exam

Series 24

Date: 3/2/2010

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

NYSE American LLC

SRO Registrations

NYSE Arca, Inc.

SRO Registrations

Nasdaq GEMX, LLC

SRO Registrations

Nasdaq ISE, LLC

SRO Registrations

Nasdaq PHLX LLC

SRO Registrations

Nasdaq Stock Market

Current Firm

HAP TRADING, LLC

HAP CAPITAL | PFTC TRADING LLC | PFTC TRADING L.L.C. | PFTC L.L.C. | HAP TRADING, LLC

CRD#: 44257 / SEC#: , 8-50599

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

395 Hudson Street 10th Floor, New York, NY, 10014

Mailing Address

395 Hudson Street 10th Floor, New York, NY, 10014

Phone number

(212) 380-5100

Established

New York since 08/26/1997

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

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

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.

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Advisor Monitoring

Firm Stability Insights

Michael D. Joseph

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael Daniel Joseph's CRS (Customer Relationship Summary).

Certified licenses

Experience

OPAL SECURITIES, INC.

OPAL SECURITIES, INC.

OPAL SECURITIES, INC.

PERSHING LLC

FIRST CLEARING, LLC

State Registrations and Notice Filings

Exams

Series 99TO

Date: 7/11/2024

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 12/15/2009

Series 14

Date: 1/2/2023

Series 24

Date: 3/2/2010

FINRA

NYSE American LLC

NYSE Arca, Inc.

Nasdaq GEMX, LLC

Nasdaq ISE, LLC

Nasdaq PHLX LLC

Nasdaq Stock Market

Current Firm

HAP TRADING, LLC

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

HAP TRADING, LLC

TRUST BUT VERIFY

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