William J. Smith
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.
William James Smith, who also goes by Bill Smith, Billy Smith, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1983. William had worked at 15 firms and has passed the Series 65, Series 63, Series 3, Series 55, Series 5, Series 15, Series 7, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 20, 2011 - January 20, 2012
T3 TRADING GROUP, LLC
July 30, 2009 - November 27, 2009
REGAL ADVISORY SERVICES, INC.
July 14, 2009 - November 27, 2009
REGAL SECURITIES, INC.
June 9, 2006 - March 10, 2008
CITIGROUP GLOBAL MARKETS INC.
March 14, 2006 - March 10, 2008
CITIGROUP GLOBAL MARKETS INC.
March 26, 2003 - August 1, 2005
STG SECURE TRADING GROUP, INC.
December 18, 2002 - March 26, 2003
LIGHTSPEED TRADING, LLC
January 19, 2001 - March 18, 2002
SCHON-EX LLC
April 26, 1999 - December 31, 2002
SCHONFELD SECURITIES, LLC
July 2, 1997 - November 13, 1997
BLOCK TRADING INC.
May 10, 1994 - December 31, 1995
CONSECO SECURITIES, INC.
February 8, 1993 - April 26, 1994
DUNHILL EQUITIES, INC.
May 3, 1991 - January 13, 1993
GRUNTAL & CO., L.L.C.
May 24, 1989 - May 16, 1991
LEHMAN BROTHERS INC.
March 20, 1987 - May 23, 1989
A. G. EDWARDS & SONS, INC.
January 19, 1983 - April 2, 1987
PRUDENTIAL EQUITY GROUP, 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 55
Date: 1/15/2001
Limited Representative-Equity Trader ExamSeries 5
Date: 4/25/1983
Interest Rate Options ExaminationSeries 15
Date: 3/7/1983
Foreign Currency Options ExaminationSeries 8
Date: 4/8/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
T3 TRADING GROUP, LLC
CRD#: 154431 / SEC#: , 8-68639
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| T3 COMPANIES, LLC | MEMBER/OWNER | |
| LI, XIAOYAN | PRINCIPAL FINANCIAL OFFICER | 4465893 |
| LI, XIAOYAN | PRINCIPAL OPERATIONS OFFICER | 4465893 |
| LI, XIAOYAN | FINOP | 4465893 |
| MARQUIS, GARRET CHRISTIAN | CHEIF EXECUTIVE OFFICER | 3198686 |
| PIKOWSKI, STEVEN | CHIEF COMPLIANCE OFFICER | 1562340 |
| REDLER, SCOTT JASON JR | CHIEF STRATEGIC OFFICER | 2680492 |
Disclosures
| Regulatory Event | 3 |
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.
