James F. Litwin
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.
James Frederick Litwin was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2000. James had worked at 9 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 7, Series 52, Series 4, Series 14 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
March 2, 2018 - August 1, 2025
HRT EXECUTION SERVICES LLC
January 27, 2010 - August 1, 2025
HRT FINANCIAL LP
April 17, 2008 - January 4, 2010
MACQUARIE CAPITAL (USA) INC.
December 19, 2006 - October 5, 2007
OCTEG, LLC
March 1, 2002 - December 19, 2003
CETERA INVESTMENT ADVISERS LLC
October 4, 2001 - September 16, 2003
CAPITAL BROKERAGE CORPORATION
September 28, 2001 - October 28, 2003
CETERA FINANCIAL SPECIALISTS LLC
July 20, 2000 - September 18, 2001
GE INVESTMENT DISTRIBUTORS, INC
February 10, 2000 - June 19, 2000
AMERIPRISE ADVISOR SERVICES, 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 ExamCurrent Firm
HRT EXECUTION SERVICES LLC
CRD#: 128491 / SEC#: , 8-66143
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUN HOLDINGS LLC | OWNER OF HRT EXECUTION SERVICES LLC | |
| ALCALA, MIKAELA | AML COMPLIANCE OFFICER | 7523021 |
| ATTONITO, ERICA GALE | HEAD OF SALES | 5151146 |
| BLOCK, NACHSHON M | CHIEF FINANCIAL OFFICER | 7192815 |
| CARROLL, JASON EASTWICK | MANAGING DIRECTOR | 5173598 |
| JUSTINI, PETER THOMAS | FINOP | 2097898 |
| KEEL, JOHN MATTHEW | CHIEF COMPLIANCE OFFICER | 4189740 |
| NUNES, ADAM SETH | CHIEF EXECUTIVE OFFICER | 5246806 |
Disclosures
| Regulatory Event | 9 |
Red Flags
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