CRD #128491 · FINRA BrokerCheck + SEC IAPD

HRT Execution Services LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, HRT Execution Services LLC ranks #755 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #86 of 868 on the same disclosure sort used on the state browse page. HRT Execution Services LLC carries 9 BrokerCheck disclosures across 3 branch offices - heavy load for a small firm, earning a Grade C.

Verify on FINRA BrokerCheck → Browse all firms
Grade C
Safety grade
3
branch offices
9
disclosures
#755 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 128491 HRT Execution Services LLC

HRT Execution Services LLC · Grade C · 9 disc · 3.00/office · Small firm

  • CRD 128491
  • GRADE C
  • DISC 9
  • REG 9
  • ARB 0
  • CIV 0
  • BRANCH 3
  • PER-OFF 3.00
  • RANK #755 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Banyan Securities, LLC (3.00 disc/office)

Banyan Securities, LLC3.00Buell Securities Corp.3.00C. L. King & Associates…3.00HRT Execution Servi… (this)3.00
Disclosures per office among small firm peers (lower is cleaner)

HRT Execution Services LLC ranks #755 of 20,055 by disclosure count among graded broker-dealers; heavy load at 3.00 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 3/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

3 offices

FINRA: Small firm

Total disclosures

9 events

On FINRA BrokerCheck

Regulatory events

9 actions

100% of all disclosures

Disclosures per office

3.00 per office

9 ÷ 3 offices

HRT Execution Services LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

3 a cleaner per-office record than 4% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). Below this entry. 0–1: 159 disclosing firms (13%). Below this entry. 1–1: 301 disclosing firms (24%). Below this entry. 1–1: 40 disclosing firms (3%). Below this entry. 1–1: 140 disclosing firms (11%). Below this entry. 1–2: 32 disclosing firms (3%). Below this entry. 2–2: 65 disclosing firms (5%). Below this entry. 2–2: 9 disclosing firms (1%). Below this entry. 2–2: 72 disclosing firms (6%). Below this entry. 2–3: 14 disclosing firms (1%). Below this entry. 3–3: 24 disclosing firms (2%). Below this entry. 3–3: 6 disclosing firms (0%). Below this entry. 3–3: 32 disclosing firms (3%). This entry sits in this band. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 9
Arbitrations 0
Civil Events 0
Total 9

Counts for HRT Execution Services LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 9 Arbitration 0 Civil 0

Firm Details

Firm Size
Small
Scope
ACTIVE
Location
New York, NY
CRD Number
128491

Regulator-heavy mix

HRT Execution Services LLC in the heavier-disclosure third

HRT Execution Services LLC carries 9 BrokerCheck disclosures across 3 branch offices - a heavier-third raw book among graded firms (#755 of 20,055). Regulator-initiated events are 100% of the book (9 regulatory / 0 arbitration / 0 civil).

100% of HRT Execution Services LLC's 9 disclosures are regulator-initiated (9 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of HRT Execution Services LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

New York cohort · 1.03× state average

HRT Execution Services LLC tracks near the New York disclosure average

HRT Execution Services LLC reports 9 BrokerCheck disclosures, about 1.03× the New York average of 8.7 across 868 graded firms.

In New York, 513 firms carry Grade A and 7 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the New York state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does HRT Execution Services LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, HRT Execution Services LLC ranks #755 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #86 of 868 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of C mean for HRT Execution Services LLC?
A grade of C reflects HRT Execution Services LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 9 total disclosures across 3 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does HRT Execution Services LLC have?
HRT Execution Services LLC has 9 total FINRA disclosures, including 9 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is HRT Execution Services LLC?
HRT Execution Services LLC operates 3 branch offices and is classified by FINRA as a small firm, registered in NY (Small firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify HRT Execution Services LLC's disciplinary record?
You can verify HRT Execution Services LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 128491. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). HRT Execution Services LLC's 9 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid HRT Execution Services LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. HRT Execution Services LLC carries 9 disclosures across 3 branch offices (about 3.00 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for HRT Execution Services LLC, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

  • Banyan Securities, LLC (CA) - 3.00 disclosures/office, nearest small firm peer to HRT Execution Services LLC's 3.00
  • Buell Securities Corp. (CT) - 3.00 disclosures/office, nearest small firm peer to HRT Execution Services LLC's 3.00
  • C. L. King & Associates, Inc. (NY) - 3.00 disclosures/office, nearest small firm peer to HRT Execution Services LLC's 3.00
  • Firms in NY - state roster that includes HRT Execution Services LLC's registration home.
  • Red Flags in Advisor Records - How to read HRT Execution Services LLC's heavy load disclosure profile without over-reading raw counts.
  • Reading BrokerCheck Reports - Parse the 9 disclosures behind HRT Execution Services LLC's Grade C.
  • Highest-Risk Firms - Grade D/F firms on the same size-normalized scale as HRT Execution Services LLC.
  • Compare firms - put HRT Execution Services LLC next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.