Derrick W. Johnson
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.
Derrick Wayne Johnson was a registered financial professional .
Derrick is a previously registered financial professional and started their career in finance in 2002. Derrick had worked at 8 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 8, 2015 - February 9, 2016
HRT EXECUTION SERVICES LLC
September 26, 2011 - October 3, 2014
UBS SECURITIES LLC
April 20, 2011 - September 6, 2011
IBKR SECURITIES SERVICES LLC
January 15, 2008 - June 9, 2009
UNX LLC
November 6, 2006 - January 16, 2008
ELECTRONIC SECURITIES PROCESSING (ESP) LLC
May 16, 2005 - July 25, 2006
SANFORD C. BERNSTEIN & CO., LLC
April 15, 2003 - April 22, 2005
CREDIT SUISSE SECURITIES (USA) LLC
June 5, 2002 - March 26, 2003
VIRTU ITG 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 55
Date: 6/25/2002
Limited Representative-Equity 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
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.
