Thomas Fleming
Professional Summary
Thomas Fleming, who also goes by Thomas R Fleming, Thomas Roy Fleming, Thomas Fleming, Tom Fleming, is a registered financial advisor currently at HRT FINANCIAL LP located in New York, New York. Thomas is registered as a RR (Registered Representative) and started their career in finance in 2007. Thomas has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas R Fleming, Thomas Roy Fleming, Thomas Fleming, Tom Fleming
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Contact Information
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Disclosures on record.
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Years of Experience
19 years in the financial services industry
Current & Past Employments
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Current Firm
HRT FINANCIAL LLC | HRT FINANCIAL LP
Contact Information
Main Address
3 World Trade Center 175 Greenwich Street 76th Floor, New York, NY, 10007Mailing Address
3 World Trade Center 175 Greenwich Street 76th Floor, New York, NY, 10007Phone Number
(212) 293-1444Established
Delaware since 08/10/2009Firm Type
PartnershipFiscal Year End
DecemberFirm Size
MediumDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HUDSON RIVER TRADING LLC | LIMITED PARTNER | — |
| ALCALA, MIKAELA | AML COMPLIANCE OFFICER | 7523021 |
| BLOCK, NACHSHON M | CHIEF FINANCIAL OFFICER | 7192815 |
| CARROLL, JASON EASTWICK | MANAGING MEMBER | 5173598 |
| HRT GP LLC | GENERAL PARTNER | — |
| JUSTINI, PETER THOMAS | FINOP | 2097898 |
| KLOIN, SCOTT | CHIEF COMPLIANCE OFFICER | 4971326 |
| 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
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 55 — Limited Representative-Equity Trader Exam
Passed Dec 2007SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Thomas Fleming's CRS (Customer Relationship Summary).
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