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PW

Paul J. Wainer

HAP TRADING
NEW YORK, NY 10014
Some features on this profile are disabled
CRD#: 6118166
PW

Professional summary

Paul Jerome Wainer is a registered financial professional currently at HAP TRADING, LLC located in New York, New York.

Paul is registered as a RR (Registered Representative) and started their career in finance in 2012. Paul has worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 7TO and Series 56 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Paul Jerome Wainer'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

September 24, 2025 - Present

HAP TRADING, LLC

Office #1: 395 Hudson Street 10th Floor, New York, NY, 10014
BD
CRD#: 44257
NEW YORK, NY
Past

January 12, 2024 - September 25, 2025

NOMURA SECURITIES INTERNATIONAL, INC.

BD
CRD#: 4297
NEW YORK, NY
Past

October 5, 2012 - January 15, 2016

SPOT TRADING L.L.C.

BD
CRD#: 47666
CHICAGO, IL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/3/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 2/4/2024
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 1/12/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/7/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 56
Date: 10/4/2012
Proprietary Trader Qualification Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market

Current Firm

HT
HAP TRADING, LLC
HAP CAPITAL | PFTC TRADING LLC | PFTC TRADING L.L.C. | PFTC L.L.C. | HAP TRADING, LLC

CRD#: 44257 / SEC#: , 8-50599

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
395 Hudson Street 10th Floor, New York, NY, 10014
Mailing Address
395 Hudson Street 10th Floor, New York, NY, 10014
Phone number
(212) 380-5100
Established
New York since 08/26/1997
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
HAP CAPITAL ADVISORS, LLCOWNER
JOSEPH, MICHAEL DANIELCHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER3008655
KRUGER, JOHN ROBERTPRINCIPAL FINANCIAL OFFICER, FINANCIAL & OPERATIONS PRINCIPAL4740278
KRUGER, JOHN ROBERTPRINCIPAL OPERATIONS OFFICER4740278
PADIA, HARSH ACEO & MEMBER2915065
RXR LLCMANAGING MEMBER

Disclosures

Regulatory Event10

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

HAP TRADING, LLC

CRD#: 44257New York, NY 10014

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