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Haithum Nokta

BTIG
New York, NY 10022
Some features on this profile are disabled
CRD#: 5975546
HN

Professional summary

Haithum Nokta, who also goes by Haithum M Nokta, Haithum Mostafa Nokta, is a registered financial professional currently at BTIG, LLC located in New York, New York.

Haithum is registered as a RR (Registered Representative) and started their career in finance in 2011. Haithum has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 87, Series 86 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Haithum M Nokta | Haithum Mostafa Nokta

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 Haithum Nokta's CRS (Customer Relationship Summary).
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

December 18, 2018 - Present

BTIG, LLC

Office #1: Park Avenue Tower 65 East 55th Street, New York, NY 10022
BD
CRD#: 122225
New York, NY
Past

June 4, 2015 - September 5, 2018

CLARKSONS SECURITIES, INC

BD
CRD#: 30882
NEW YORK, NY
Past

June 5, 2012 - October 1, 2015

D/B/A CLARKSONS PLATOU SECURITIES

BD
CRD#: 113325
HOUSTON, TX
Past

October 14, 2011 - May 18, 2012

GLOBAL HUNTER SECURITIES, LLC

BD
CRD#: 123003
HOUSTON, TX

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
California
(12/18/2018)
RR
Connecticut
(12/18/2018)
RR
Florida
(12/18/2018)
RR
Georgia
(12/18/2018)
RR
Illinois
(12/18/2018)
RR
Massachusetts
(12/18/2018)
RR
New Jersey
(12/18/2018)
RR
New York
(12/18/2018)
RR
Pennsylvania
(12/18/2018)
RR
Texas
(12/18/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 11/28/2011
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 2/19/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/5/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 12/23/2011
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 86
Date: 12/15/2011
Research Analyst Exam - Part I Analysis Module
General Industry/Product Exam
RR
Series 7
Date: 10/12/2011
General Securities Representative Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

BL
BTIG, LLC
BASS TRADING, LLC | BTIG, LLC | BTIG ELECTRONIC TRADING | BAYPOINT TRADING, LLC

CRD#: 122225 / SEC#: , 8-65473

BD
Broker-Dealer Firm Regulated by FINRA (San Francisco district office)
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Contact information

Main Address
350 Bush Street 9th Floor, San Francisco, CA 94104
Mailing Address
350 Bush Street 9th Floor, San Francisco, CA 94104
Phone number
(415) 248-2200
Established
Delaware since 06/05/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CONDOR TRADING LPMANAGER/MEMBER
CZEPIEL, KYLE ROBERTCHIEF OPERATING OFFICER2360785
ENDRES, BRIAN KENNETHCFO/FINOP/PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER2673131
HAMILTON, AUSTINCHIEF COMPLIANCE OFFICER2592315
LEROY, ANTON MAURICECHIEF EXECUTIVE OFFICER2862204

Disclosures

Regulatory Event11
Civil Event1

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

BTIG, LLC

CRD#: 122225New York, NY 10022

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