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PW

Paul J. Wainer

Some features on this profile are disabled
CRD#: 6118166
PW

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.

Paul Jerome Wainer was a registered financial professional .

Paul is a previously registered financial professional and started their career in finance in 2012. Paul had worked at 3 firms and has passed the Series 63, Series 57TO, SIE, Series 7TO and Series 56 exams.

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 24, 2025 - November 21, 2025

HAP TRADING, LLC

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

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 OPERATIONS OFFICER4740278
KRUGER, JOHN ROBERTPRINCIPAL FINANCIAL OFFICER, FINANCIAL & OPERATIONS PRINCIPAL4740278
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#: 44257

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