CRD #152144 · FINRA BrokerCheck + SEC IAPD

HRT Financial LP

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, HRT Financial LP ranks #681 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #74 of 868 on the same disclosure sort used on the state browse page. HRT Financial LP carries 10 BrokerCheck disclosures across 4 branch offices - elevated load for a small firm, earning a Grade D.

Verify on FINRA BrokerCheck → Browse all firms
Grade D
Safety grade
4
branch offices
10
disclosures
#681 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 152144 HRT Financial LP

HRT Financial LP · Grade D · 10 disc · 2.50/office · Small firm

  • CRD 152144
  • GRADE D
  • DISC 10
  • REG 10
  • ARB 0
  • CIV 0
  • BRANCH 4
  • PER-OFF 2.50
  • RANK #681 of 20,055
  • BOOK Small firm

Intensity peers

Nearest same-size peer: Carnes Capital Corporation (2.50 disc/office)

Carnes Capital Corporation2.50C&C Trading L.L.C.2.50Credicorp Capital LLC2.50HRT Financial LP (this)2.50
Disclosures per office among small firm peers (lower is cleaner)

HRT Financial LP ranks #681 of 20,055 by disclosure count among graded broker-dealers; elevated load at 2.50 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 2/5 - 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

4 offices

FINRA: Medium firm

Total disclosures

10 events

On FINRA BrokerCheck

Regulatory events

10 actions

100% of all disclosures

Disclosures per office

2.50 per office

10 ÷ 4 offices

HRT Financial LP 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 7% 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%). This entry sits in this band. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 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 10
Arbitrations 0
Civil Events 0
Total 10

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

Disclosure category share

Regulatory 10 Arbitration 0 Civil 0

Firm Details

Firm Size
Medium
Scope
ACTIVE
Location
New York, NY, 10007
Formed
08/10/2009
State of Formation
Delaware
CRD Number
152144
SEC Number
68430

Regulator-heavy mix

HRT Financial LP in the heavier-disclosure third

HRT Financial LP carries 10 BrokerCheck disclosures across 4 branch offices - a heavier-third raw book among graded firms (#681 of 20,055). Regulator-initiated events are 100% of the book (10 regulatory / 0 arbitration / 0 civil).

100% of HRT Financial LP's 10 disclosures are regulator-initiated (10 events). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

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

New York cohort · 1.14× state average

HRT Financial LP sits above the New York disclosure average

HRT Financial LP reports 10 BrokerCheck disclosures, 1.14× the New York average of 8.7 across 868 graded firms with a principal-office state on file.

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 Financial LP sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, HRT Financial LP ranks #681 of 20,055 by disclosure count (most disclosures first). Among firms registered in NY, it ranks #74 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 D mean for HRT Financial LP?
A grade of D reflects HRT Financial LP's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (small firm). It carries 10 total disclosures across 4 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does HRT Financial LP have?
HRT Financial LP has 10 total FINRA disclosures, including 10 regulatory events. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is HRT Financial LP?
HRT Financial LP operates 4 branch offices and is classified by FINRA as a medium 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 Financial LP's disciplinary record?
You can verify HRT Financial LP's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 152144. 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 Financial LP's 10 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid HRT Financial LP 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 Financial LP carries 10 disclosures across 4 branch offices (about 2.50 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 Financial LP, both outside NY so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Read with this firm

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.