Matthew J. Moran
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.
Matthew John Moran was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2003. Matthew had worked at 4 firms and has passed the Series 63, Series 57TO, Series 62, SIE, Series 55 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
March 11, 2015 - September 2, 2025
HAP TRADING, LLC
November 26, 2012 - March 24, 2015
RBC CAPITAL MARKETS, LLC
June 9, 2010 - November 27, 2012
SG AMERICAS SECURITIES, LLC
September 26, 2003 - May 20, 2010
TD ARRANGED SERVICES 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: 1/2/2023
Securities Trader ExamSeries 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 55
Date: 6/15/2010
Limited Representative-Equity Trader ExamCurrent 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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