Mark K. Szeto
Professional summary
Mark Kevin Szeto, who also goes by Mark Kevin Szeto, is a registered financial professional currently at HRT FINANCIAL LP located in Chicago, Illinois and HRT EXECUTION SERVICES LLC located in Chicago, Illinois.
Mark is registered as a RR (Registered Representative) and started their career in finance in 2015. Mark has worked at 4 firms and has passed the Series 57TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Mark Kevin Szeto's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 7, 2024 - Present
HRT FINANCIAL LP
Office #1: 100 S. Wacker Drive Suite 300, Chicago, IL 60606August 7, 2024 - Present
HRT EXECUTION SERVICES LLC
Office #1: 100 S Wacker Drive Suite 300, Chicago, IL 60606November 11, 2021 - October 24, 2023
IMC FINANCIAL MARKETS
July 2, 2019 - May 11, 2021
CTC, LLC
January 5, 2015 - February 26, 2015
CTC, 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: 6/14/2019
Securities 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 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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