JH
Joshua L. Hariton
HRT FINANCIAL LP
New York, NY 10007
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CRD#: 4630878
JH
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
Are you a "fiduciary"?
No
Aliases
Josh Hariton | Joshua Hariton
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Joshua L Hariton's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
March 26, 2021 - Present
HRT FINANCIAL LP
Office #1: 3 World Trade Center 175 Greenwich Street 76th Floor, New York, NY, 10007BD
CRD#: 152144
New York, NY
Past
February 25, 2019 - April 17, 2019
TRADITION SECURITIES AND DERIVATIVES LLC
BD
CRD#: 28269
Stamford, CT
Past
December 1, 2005 - June 16, 2006
FRANKLIN DISTRIBUTORS, LLC
BD
CRD#: 109064
SAN MATEO, CA
Past
March 18, 2003 - December 1, 2005
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 57TO
Date: 8/24/2021
Securities Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
HF
HRT FINANCIAL LP
HRT FINANCIAL LLC | HRT FINANCIAL LP
CRD#: 152144 / SEC#: , 8-68430
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
3 World Trade Center 175 Greenwich Street 76th Floor, New York, NY, 10007
Mailing Address
3 World Trade Center 175 Greenwich Street 76th Floor, New York, NY, 10007
Phone number
(212) 293-1444
Established
Delaware since 08/10/2009
Firm type
Partnership
Fiscal year end
December
Firm Size
Medium
# of Employees
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
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.
