Neal A. Fisher
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.
Neal Allan Fisher, who also goes by Neil Fisher, was a registered financial professional .
Neal is a previously registered financial professional and started their career in finance in 1983. Neal had worked at 11 firms and has passed the Series 63, SIE, Series 56, Series 55, Series 3, Series 7, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 5, 2015 - July 6, 2017
T3 TRADING GROUP, LLC
May 6, 2006 - January 7, 2008
OPUS TRADING FUND LLC
June 8, 2004 - July 27, 2004
LIGHTSPEED PROFESSIONAL TRADING LLC
January 14, 1997 - March 25, 2004
SCHONFELD SECURITIES, LLC
July 17, 1995 - October 10, 1995
A.B. WATLEY DIRECT, INC.
February 27, 1992 - July 26, 1995
AMERIPRISE ADVISOR SERVICES, INC.
January 10, 1991 - September 19, 1991
LEHMAN BROTHERS INC.
August 22, 1990 - January 11, 1991
IFMG SECURITIES, INC.
September 11, 1989 - May 14, 1990
PRUDENTIAL EQUITY GROUP, LLC
August 9, 1985 - September 19, 1991
LEHMAN BROTHERS INC.
December 28, 1983 - July 18, 1985
LISS TENNER & GOLDBERG SECURITIES CORPORATION
December 21, 1983 - December 28, 1983
GLICKENHAUS & CO. - NEW JERSEY
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 56
Date: 5/5/2015
Proprietary Trader Qualification ExaminationSeries 55
Date: 6/21/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 4/16/1993
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.
