DW
Daniel Weiss
HAP TRADING
NEW YORK, NY 10014
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CRD#: 7434997
DW
Professional summary
Daniel Weiss is a registered financial professional currently at HAP TRADING, LLC located in New York, New York.
Daniel is registered as a RR (Registered Representative) and started their career in finance in 2022. Daniel has worked at 1 firm and has passed the Series 57TO and SIE 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.
CRS (Client Relationship Summary) - BD
Click below to view Daniel Weiss'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®
NoneExperience
Current
March 2, 2022 - Present
HAP TRADING, LLC
Office #1: 395 Hudson Street 10th Floor, New York, NY, 10014BD
CRD#: 44257
NEW YORK, NY
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
General Industry/Product Exam
RR
Series 57TO
Date: 3/2/2022
Securities Trader ExamGeneral Industry/Product Exam
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
| Name | Position | CRD# |
|---|---|---|
| HAP CAPITAL ADVISORS, LLC | OWNER | |
| JOSEPH, MICHAEL DANIEL | CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER | 3008655 |
| KRUGER, JOHN ROBERT | PRINCIPAL FINANCIAL OFFICER, FINANCIAL & OPERATIONS PRINCIPAL | 4740278 |
| KRUGER, JOHN ROBERT | PRINCIPAL OPERATIONS OFFICER | 4740278 |
| PADIA, HARSH A | CEO & MEMBER | 2915065 |
| RXR LLC | MANAGING MEMBER |
Disclosures
| Regulatory Event | 10 |
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.
