Harlan M. Sender
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.
Harlan Miles Sender was a registered financial professional .
Harlan is a previously registered financial professional and started their career in finance in 1981. Harlan had worked at 26 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
May 1, 2015 - October 27, 2016
KOYOTE TRADING LLC
January 7, 2009 - July 30, 2014
QUAD CAPITAL, LLC
September 19, 2007 - December 31, 2008
LIGHTHOUSE FINANCIAL GROUP, LLC
October 30, 2006 - September 8, 2007
HUDSON SECURITIES,INC.
August 10, 2006 - October 27, 2006
CAPITAL GROWTH FINANCIAL, LLC
July 12, 2004 - August 15, 2006
HFP CAPITAL MARKETS LLC
January 26, 2004 - July 13, 2004
ANDREW GARRETT INC.
December 15, 2003 - July 13, 2004
BROKERAGEAMERICA, LLC
March 3, 2003 - December 12, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
February 11, 2003 - March 3, 2003
RUMSON CAPITAL, LLC
March 21, 2002 - October 11, 2002
KNIGHT CAPITAL AMERICAS, L.P.
October 4, 2001 - March 21, 2002
SPIRIT PARTNERS, L.P.
June 25, 2001 - July 9, 2002
TECH-TRADE CAPITAL LLC
September 21, 1998 - November 25, 1998
FIRST NEW YORK SECURITIES L.L.C.
March 5, 1998 - August 27, 1998
FIRST ASSET MANAGEMENT, INC.
June 18, 1996 - March 5, 1998
NATIONAL FINANCIAL SERVICES LLC
April 26, 1996 - June 25, 1996
WSM HOLDINGS, L.L.C.
January 12, 1995 - April 18, 1996
HILL THOMPSON MAGID & CO., INC.
December 7, 1992 - December 31, 1994
LAIDLAW GLOBAL SECURITIES, INC.
February 8, 1991 - December 1, 1992
REICH & CO., INC.
January 2, 1991 - January 14, 1991
BAIRD, PATRICK & CO., INC.
April 12, 1989 - July 18, 1990
BAIRD, PATRICK & CO., INC.
October 27, 1988 - April 12, 1989
LEHMAN BROTHERS INC.
January 28, 1986 - September 21, 1988
JANNEY MONTGOMERY SCOTT LLC
August 6, 1984 - February 18, 1986
STARR SECURITIES, INC.
January 17, 1984 - August 9, 1984
GILFORD SECURITIES INCORPORATED
March 23, 1981 - December 30, 1983
HAPOALIM SECURITIES USA, INC.
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: 5/15/2001
Limited Representative-Equity Trader ExamCurrent Firm
KOYOTE TRADING LLC
CRD#: 149672 / SEC#: , 8-68182
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KOYOTE CAPITAL GROUP LLC | OWNER | |
| KOCH, DAVID KENNETH | VICE PRESIDENT & SECRETARY, MEMBER | 2422912 |
| RISI, SALVATORE ANTHONY | CFO/FINOP | 1072513 |
| ROSEN, LUCAS GABRIEL | MEMBER | 2443280 |
| SCHOTTENFELD, RICHARD PAUL | MANAGING MEMBER | 1280443 |
| WADE, RICHARD JOSEPH JR | CHIEF COMPLIANCE OFFICER | 1455700 |
| WEISS, BRYAN EVAN | MEMBER | 4439851 |
| WEISS, RONALD MICHAEL | PRESIDENT, MEMBER | 462488 |
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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