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Daniel Smith

HRT Execution Services LLC

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About Daniel Smith

Daniel Smith is a financial professional with over 20 years of experience in the industry. Daniel is currently registered with HRT Execution Services LLC and HRT Financial LP. Daniel has a wide range of experience in the financial services industry, including securities trading, investment banking, and financial planning. Daniel holds Series 3, 6, 7, 57TO and SIE licenses and is a registered representative with FINRA.

Firm Information

Daniel Smith is currently registered with HRT Execution Services LLC. HRT Execution Services LLC is a Limited Liability Company formed in New York on April 24, 2003. The firm has 1 approved SEC registration and 1 approved state registration. The firm has disclosed 9 Regulatory Events.

Not reported

Assets Under Management

Not reported

Total Clients

49

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Daniel Smith’s Registration & Firm History

NY

04/06/2021 - Present

HRT Execution Services LLC (NEW YORK NY)

NY

01/06/2010 - 09/17/2010

BLUEFIN TRADING, LLC (NEW YORK NY)

NY

06/15/2009 - 06/15/2010

BLUEFIN SPECIALISTS L.L.C. (NEW YORK NY)

NJ

02/11/2003 - 03/27/2003

FIRST INVESTORS CORPORATION (EDISON NJ)

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Licenses & Designations

BC

Issued 02/27/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/06/2021

Series 57TO - Securities Trader Exam

BC

Issued 08/27/2020

SIE - Securities Industry Essentials Examination

BC

Issued 08/30/2019

Series 3 - National Commodity Futures Examination

BC

Issued 06/12/2009

Series 7 - General Securities Representative Examination

BC

Issued 02/10/2003

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There is public disclosure for Daniel Smith. Review regulatory record here.
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