Hirak J. Biswas

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CRD#: 4716945

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.

Hirak Jyoti Biswas was a registered financial professional .

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

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

August 13, 2015 - February 15, 2019

LIQUIDITYEDGE, LLC

CRD#: 174297

NEW YORK,, NY

Past

July 8, 2014 - February 6, 2015

NATWEST MARKETS SECURITIES INC.

CRD#: 11707

STAMFORD, CT

Past

August 16, 2010 - December 21, 2012

CREDIT SUISSE SECURITIES (USA) LLC

CRD#: 816

NEW YORK, NY

Past

January 30, 2007 - October 29, 2008

MORGAN STANLEY MARKET PRODUCTS INC.

CRD#: 19794

NEW YORK, NY

Past

January 30, 2007 - August 24, 2010

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

January 9, 2004 - July 28, 2006

BARCLAYS CAPITAL INC.

CRD#: 19714

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

Series 63

Date: 8/24/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/6/2010

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 1/8/2004

General Securities Representative Examination

Current Firm

LIQUIDITYEDGE, LLC

LIQUIDITYEDGE, LLC | MARKETAXESS RATES | LIQUIDITYEDGE, LLC.

CRD#: 174297 / SEC#: , 8-69570

Terminated by SEC on 02/19/2022

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 10/16/2014

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
MARKETAXESS HOLDINGS INC.	PARENT COMPANY
FARRELL, BRYAN MATTHEW	GENERAL SECURITIES PRINCIPAL #2	6377664
GEROSA, CHRISTOPHER NEAL	FINOP	7044080
HUNTER, NICHOLA JANE	CHIEF EXECUTIVE OFFICER, GSP #1	6573279
STEINFELD, RON EDWARD	CHIEF COMPLIANCE OFFICER	5747522

Red Flags

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