Stephen J. Flynn
Professional summary
Stephen James Flynn is a registered financial professional currently at HRT FINANCIAL LP located in New York, New York.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 2000. Stephen has worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 3, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen James Flynn's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 30, 2020 - Present
HRT FINANCIAL LP
Office #1: 3 World Trade Center 175 Greenwich Street 76th Floor, New York, NY, 10007August 7, 2018 - December 1, 2020
BARCLAYS CAPITAL INC.
December 7, 2009 - August 15, 2018
CITIGROUP GLOBAL MARKETS INC.
February 18, 2009 - August 18, 2009
BNP PARIBAS PRIME BROKERAGE, INC.
November 20, 2007 - August 18, 2009
BNP PARIBAS SECURITIES CORP.
October 28, 2005 - November 26, 2007
NOMURA SECURITIES INTERNATIONAL, INC.
April 17, 2001 - August 16, 2001
PERSHING ADVISOR SOLUTIONS LLC
May 25, 2000 - April 11, 2001
PERSHING LLC
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: 3/27/2006
Limited Representative-Equity Trader Exam24X National Exchange LLC
BOX Exchange LLC
Cboe BYX Exchange, Inc.
Cboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGA Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Investors' Exchange LLC
Long-Term Stock Exchange, Inc.
MEMX LLC
MIAX Emerald, LLC
MIAX PEARL, LLC
MIAX Sapphire
Miami International Securities Exchange, LLC
NYSE American LLC
NYSE Arca, Inc.
NYSE National, Inc.
NYSE Texas, Inc.
Nasdaq BX, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
New York Stock Exchange
Current 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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