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Prashant Lal

HRT Execution Services LLC

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About Prashant Lal

Prashant Lal is a financial professional with over 11 years of experience in the industry. Prashant Lal is currently registered with HRT Execution Services LLC and HRT Financial LP, both of which are based in New York, NY. Prashant Lal has a strong track record of success in the financial services industry, having passed several industry exams, including the Series 7, Series 24, Series 4, and Series 57TO.

Firm Information

Prashant Lal 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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Prashant Lal’s Registration & Firm History

NY

03/02/2018 - Present

HRT Execution Services LLC (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/17/2011

Series 4 - Registered Options Principal Examination

BC

Issued 07/18/2011

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/21/2011

Series 7 - General Securities 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 are no public disclosures for Prashant Lal.
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