Charles H. Turley
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.
Charles H Turley IV, who also goes by Charles Turley, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 2022. Charles had worked at 1 firm and has passed the Series 57TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 25, 2022 - July 17, 2025
HAP TRADING, LLC
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 57TO
Date: 4/25/2022
Securities Trader ExamCurrent Firm
HAP TRADING, LLC
CRD#: 44257 / SEC#: , 8-50599
Contact information
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.
