AW
Andrew B. Witt
HRT FINANCIAL LP
New York, NY 10007
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CRD#: 4966796
AW
Professional summary
Andrew Benjamin Witt is a registered financial professional currently at HRT FINANCIAL LP located in New York, New York and HRT EXECUTION SERVICES LLC located in New York, New York.
Andrew is registered as a RR (Registered Representative) and started their career in finance in 2005. Andrew has worked at 7 firms and has passed the Series 57TO, Series 99TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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) - BD
Click below to view Andrew Benjamin Witt's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 18, 2022 - Present
HRT FINANCIAL LP
Office #1: 3 World Trade Center 175 Greenwich Street 76th Floor, New York, NY, 10007Office #2: 100 S. Wacker Drive Suite 300, Chicago, IL 60606BD
CRD#: 152144
New York, NY
Current
April 18, 2022 - Present
HRT EXECUTION SERVICES LLC
Office #1: 3 World Trade Center 175 Greenwich Street 76th Floor, New York, NY, 10007BD
CRD#: 128491
New York, NY
Past
August 21, 2019 - March 25, 2022
VIRTU AMERICAS LLC
BD
CRD#: 149823
CHICAGO, IL
Past
January 15, 2019 - April 9, 2020
VIRTU FINANCIAL BD LLC
BD
CRD#: 148390
Chicago, IL
Past
July 1, 2013 - February 8, 2019
VIRTU AMERICAS LLC
BD
CRD#: 149823
CHICAGO, IL
Past
October 12, 2010 - June 11, 2014
GETCO EXECUTION SERVICES LLC
BD
CRD#: 145021
NEW YORK, NY
Past
April 19, 2010 - July 1, 2013
GETCO SECURITIES, LLC
BD
CRD#: 151233
CHICAGO, IL
Past
October 26, 2005 - June 11, 2014
OCTEG, LLC
BD
CRD#: 117429
CHICAGO, IL
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
General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 6/7/2006
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
24X National Exchange LLC
SRO Registrations
RR
BOX Exchange LLC
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
Long-Term Stock Exchange, Inc.
SRO Registrations
RR
MEMX LLC
SRO Registrations
RR
MIAX Emerald, LLC
SRO Registrations
RR
MIAX PEARL, LLC
SRO Registrations
RR
MIAX Sapphire
SRO Registrations
RR
Miami International Securities Exchange, LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE National, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq BX, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq MRX, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
HE
HRT EXECUTION SERVICES LLC
HRT EXECUTION SERVICES LLC | SUN TRADING LLC
CRD#: 128491 / SEC#: , 8-66143
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
3 World Trade Center 175 Greenwich St 76th Floor, New York, NY, 10007
Mailing Address
3 World Trade Center 175 Greenwich St 76th Floor, New York, NY, 10007
Phone number
(212) 293-1444
Established
Illinois since 04/24/2003
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUN HOLDINGS LLC | OWNER OF HRT EXECUTION SERVICES LLC | |
| ALCALA, MIKAELA | AML COMPLIANCE OFFICER | 7523021 |
| ATTONITO, ERICA GALE | HEAD OF SALES | 5151146 |
| BLOCK, NACHSHON M | CHIEF FINANCIAL OFFICER | 7192815 |
| CARROLL, JASON EASTWICK | MANAGING DIRECTOR | 5173598 |
| JUSTINI, PETER THOMAS | FINOP | 2097898 |
| KEEL, JOHN MATTHEW | CHIEF COMPLIANCE OFFICER | 4189740 |
| NUNES, ADAM SETH | CHIEF EXECUTIVE OFFICER | 5246806 |
Disclosures
| Regulatory Event | 9 |
Red Flags
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.
