Scott Kloin
Professional Summary
Scott Kloin, who also goes by Scott E. Kloin, Scott Elliot Kloin, is a registered financial advisor currently at HRT FINANCIAL LP located in New York, New York and HRT EXECUTION SERVICES LLC located in New York, New York. Scott is registered as a RR (Registered Representative) and started their career in finance in 2005. Scott has worked at 6 firms and has passed the Series 63, Series 99TO, Series 57TO, Series 79TO, SIE, Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Scott E. Kloin, Scott Elliot Kloin
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Contact Information
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Disclosures on record.
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Years of Experience
21 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
HRT EXECUTION SERVICES LLC | SUN TRADING LLC
Contact Information
Main Address
3 World Trade Center 175 Greenwich St 76th Floor, New York, NY, 10007Mailing Address
3 World Trade Center 175 Greenwich St 76th Floor, New York, NY, 10007Phone Number
(212) 293-1444Established
Illinois since 04/24/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (2 States and Territories)
Registered to provide investment advisory services in 0 US 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 |
| BLOCK, NACHSHON M | CHIEF FINANCIAL OFFICER | 7192815 |
| CARROLL, JASON EASTWICK | MANAGING MEMBER | 5173598 |
| JUSTINI, PETER THOMAS | FINOP | 2097898 |
| KEEL, JOHN MATTHEW | CHIEF COMPLIANCE OFFICER | 4189740 |
| MAHONEY, JOSEPH | HEAD OF SALES | 5030145 |
| NUNES, ADAM SETH | CHIEF EXECUTIVE OFFICER | 5246806 |
| O'DONNELL, PAUL ANTHONY | CHIEF OPERATING OFFICER | 4493148 |
Disclosures
Regulatory Event
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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
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Scott Kloin's CRS (Customer Relationship Summary).
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