Benjamin Phillips
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.
Benjamin Phillips was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 2003. Benjamin had worked at 4 firms and has passed the Series 57TO, SIE, Series 7, Series 44 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2015 - July 23, 2025
HAP TRADING, LLC
December 31, 2008 - October 15, 2015
INTEGRAL DERIVATIVES, LLC
January 25, 2007 - January 13, 2009
AGS SPECIALISTS II, LLC
September 26, 2003 - February 7, 2007
AGS SPECIALISTS 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 44
Date: 8/12/2009
PCX Market Maker 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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