Paul D. Garnock
Professional summary
Paul David Garnock is a registered financial professional currently at HAP TRADING, LLC located in New York, New York.
Paul is registered as a RR (Registered Representative) and started their career in finance in 2003. Paul has worked at 5 firms and has passed the Series 57TO, SIE and Series 56 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Paul David Garnock's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 18, 2017 - Present
HAP TRADING, LLC
Office #1: 395 Hudson Street 10th Floor, New York, NY, 10014August 27, 2012 - June 30, 2017
TMT EAST LLC
May 16, 2008 - January 3, 2012
TMT EAST LLC
August 11, 2005 - September 22, 2005
SIG SPECIALISTS, INC.
November 12, 2004 - May 15, 2008
SUSQUEHANNA SECURITIES, LLC
September 26, 2003 - May 15, 2008
SUSQUEHANNA INVESTMENT GROUP
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: 1/2/2023
Securities Trader ExamSeries 56
Date: 7/27/2015
Proprietary Trader Qualification ExaminationFINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Current Firm
HAP TRADING, LLC
CRD#: 44257 / SEC#: , 8-50599
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HAP CAPITAL ADVISORS, LLC | OWNER | |
| JOSEPH, MICHAEL DANIEL | CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER | 3008655 |
| KRUGER, JOHN ROBERT | PRINCIPAL FINANCIAL OFFICER, FINANCIAL & OPERATIONS PRINCIPAL | 4740278 |
| KRUGER, JOHN ROBERT | PRINCIPAL OPERATIONS OFFICER | 4740278 |
| PADIA, HARSH A | CEO & MEMBER | 2915065 |
| RXR LLC | MANAGING MEMBER |
Disclosures
| Regulatory Event | 10 |
Red Flags
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