Jing Xu
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.
Jing Xu was a registered financial professional .
Jing is a previously registered financial professional and started their career in finance in 2011. Jing had worked at 2 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2014 - November 10, 2014
HRT EXECUTION SERVICES LLC
March 25, 2011 - March 26, 2014
UBS SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 12/30/2011
Limited Representative-Equity Trader ExamCurrent Firm
HRT EXECUTION SERVICES LLC
CRD#: 128491 / SEC#: , 8-66143
Contact information
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.
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