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Hirak Jyoti Biswas

CRD# 4716945·Registered 2004 - 2019
Previously Registered: Being a previously registered professional could mean that Hirak 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.

Professional Summary

Hirak Jyoti Biswas was a registered financial advisor. Hirak was a previously registered financial professional and started their career in finance 2004 - 2019. Hirak had worked at 6 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

22 years in the financial services industry

Current & Past Employments

LIQUIDITYEDGE, LLC·CRD# 174297
BD
New York,, NY
August 13, 2015 - February 15, 2019
NATWEST MARKETS SECURITIES INC.·CRD# 11707
BD
Stamford, CT
July 8, 2014 - February 6, 2015
CREDIT SUISSE SECURITIES (USA) LLC·CRD# 816
BD
New York, NY
August 16, 2010 - December 21, 2012
MORGAN STANLEY MARKET PRODUCTS INC.·CRD# 19794
BD
New York, NY
January 30, 2007 - October 29, 2008
MORGAN STANLEY & CO. LLC·CRD# 8209
BD
New York, NY
January 30, 2007 - August 24, 2010
BARCLAYS CAPITAL INC.·CRD# 19714
BD
New York, NY
January 9, 2004 - July 28, 2006

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Current Firm

LL
LIQUIDITYEDGE, LLC

LIQUIDITYEDGE, LLC | MARKETAXESS RATES | LIQUIDITYEDGE, LLC.

CRD#: 174297 / SEC#: 8-69570
BD
Terminated by SEC on 02/19/2022

Contact Information

Established

Delaware since 10/16/2014

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
MARKETAXESS HOLDINGS INC.PARENT COMPANY—
FARRELL, BRYAN MATTHEWGENERAL SECURITIES PRINCIPAL #26377664
GEROSA, CHRISTOPHER NEALFINOP7044080
HUNTER, NICHOLA JANECHIEF EXECUTIVE OFFICER, GSP #16573279
STEINFELD, RON EDWARDCHIEF COMPLIANCE OFFICER5747522

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 2004About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Dec 2010About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Jan 2004About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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