Joshua L. Hariton
Professional summary
Joshua L Hariton, who also goes by Josh Hariton, Joshua Hariton, is a registered financial professional currently at HRT FINANCIAL LP located in New York, New York.
Joshua is registered as a RR (Registered Representative) and started their career in finance in 2003. Joshua has worked at 4 firms and has passed the Series 63, Series 66, Series 57TO and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joshua L Hariton's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 26, 2021 - Present
HRT FINANCIAL LP
Office #1: 3 World Trade Center 175 Greenwich Street 76th Floor, New York, NY, 10007February 25, 2019 - April 17, 2019
TRADITION SECURITIES AND DERIVATIVES LLC
December 1, 2005 - June 16, 2006
FRANKLIN DISTRIBUTORS, LLC
March 18, 2003 - December 1, 2005
CITIGROUP GLOBAL MARKETS 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: 8/24/2021
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 GEMX, LLC
Nasdaq ISE, LLC
Nasdaq MRX, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Nasdaq Texas, LLC
New York Stock Exchange
Texas Stock Exchange LLC
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 | MANAGING MEMBER | 5173598 |
| HRT GP LLC | GENERAL PARTNER | |
| JUSTINI, PETER THOMAS | FINOP | 2097898 |
| KLOIN, SCOTT | CHIEF COMPLIANCE OFFICER | 4971326 |
| NUNES, ADAM SETH | CHIEF EXECUTIVE OFFICER | 5246806 |
| O'DONNELL, PAUL ANTHONY | CHIEF OPERATING OFFICER | 4493148 |
Disclosures
| Regulatory Event | 10 |
Red Flags
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