AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
HA

Harold J. Anderson

BLOOMBERG TRADEBOOK LLC
New York, NY 10022
Some features on this profile are disabled
CRD#: 5401630
HA

Professional summary

Harold John Anderson III, who also goes by Harold John Anderson, Hank Anderson, is a registered financial professional currently at BLOOMBERG TRADEBOOK LLC located in New York, New York.

Harold is registered as a RR (Registered Representative) and started their career in finance in 2007. Harold has worked at 2 firms and has passed the Series 63, Series 7TO, SIE, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Harold John Anderson | Hank Anderson

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Harold John Anderson III'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®
None

Experience

Current

July 20, 2020 - Present

BLOOMBERG TRADEBOOK LLC

Office #1: 731 Lexington Ave, New York, NY 10022
BD
CRD#: 40881
New York, NY
Past

October 25, 2007 - March 5, 2008

NYLIFE SECURITIES LLC

BD
CRD#: 5167
WALTHAM, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(2/9/2021)
RR
Alaska
(2/9/2021)
RR
Arizona
(2/9/2021)
RR
Arkansas
(2/9/2021)
RR
California
(2/9/2021)
RR
Colorado
(2/9/2021)
RR
Connecticut
(2/9/2021)
RR
Delaware
(2/9/2021)
RR
District of Columbia
(2/9/2021)
RR
Florida
(2/9/2021)
RR
Georgia
(2/9/2021)
RR
Hawaii
(2/9/2021)
RR
Idaho
(2/9/2021)
RR
Illinois
(2/9/2021)
RR
Indiana
(2/9/2021)
RR
Iowa
(2/9/2021)
RR
Kansas
(2/9/2021)
RR
Kentucky
(2/9/2021)
RR
Louisiana
(2/9/2021)
RR
Maine
(2/9/2021)
RR
Maryland
(2/9/2021)
RR
Massachusetts
(2/9/2021)
RR
Michigan
(2/9/2021)
RR
Minnesota
(2/9/2021)
RR
Mississippi
(2/9/2021)
RR
Missouri
(2/9/2021)
RR
Montana
(2/9/2021)
RR
Nebraska
(2/9/2021)
RR
Nevada
(2/9/2021)
RR
New Hampshire
(2/9/2021)
RR
New Jersey
(2/9/2021)
RR
New Mexico
(2/9/2021)
RR
New York
(11/19/2020)
RR
North Carolina
(2/9/2021)
RR
North Dakota
(2/9/2021)
RR
Ohio
(2/9/2021)
RR
Oklahoma
(2/9/2021)
RR
Oregon
(2/9/2021)
RR
Pennsylvania
(2/9/2021)
RR
Puerto Rico
(2/9/2021)
RR
Rhode Island
(2/9/2021)
RR
South Carolina
(2/9/2021)
RR
South Dakota
(2/9/2021)
RR
Tennessee
(2/9/2021)
RR
Texas
(2/9/2021)
RR
Utah
(2/9/2021)
RR
Vermont
(2/9/2021)
RR
Virginia
(2/9/2021)
RR
Washington
(2/9/2021)
RR
West Virginia
(2/9/2021)
RR
Wisconsin
(2/9/2021)
RR
Wyoming
(2/9/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 11/19/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/20/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/8/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/24/2007
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/26/2021
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

BT
BLOOMBERG TRADEBOOK LLC
BLOOMBERG TRADEBOOK | BLOOMBERG TRADEBROOK LLC | BLOOMBERG TRADEBOOK LLC

CRD#: 40881 / SEC#: , 8-49219

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
731 Lexington Ave, New York, NY 10022
Mailing Address
731 Lexington Ave, New York, NY 10022
Phone number
(212) 617-4865
Established
Delaware since 03/28/1996
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
BLOOMBERG L.P.MANAGING MEMBER
KLEINBAUER, DEREK JOSEFCEO/PRESIDENT7279271
MILHAM, CHRISTOPHER MICHAELCHIEF FINANCIAL OFFICER, PFO, POO3092157
ROTELA, DOUGLAS MARTINCHIEF COMPLIANCE OFFICER5127496

Disclosures

Regulatory Event9

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.

Company Information

BLOOMBERG TRADEBOOK LLC

CRD#: 40881New York, NY 10022

TRUST BUT VERIFY

Monitor Harold Anderson

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics