Sara L. Kaser
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.
Sara Lynn Kaser, who also goes by Sara Lynn Hein, Sara Hein, was a registered financial professional .
Sara is a previously registered financial professional and started their career in finance in 2003. Sara had worked at 3 firms and has passed the Series 63, SIE 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
June 4, 2009 - January 18, 2018
HRT EXECUTION SERVICES LLC
May 24, 2005 - July 8, 2008
ADVANCED EQUITIES, INC.
May 19, 2003 - June 2, 2005
WILLIAM BLAIR
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
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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