Roy V. Gambella
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.
Roy Vincent Gambella was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1983. Roy had worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 15, Series 5, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 24, 2020 - November 25, 2022
T3 TRADING GROUP, LLC
December 6, 2019 - December 23, 2020
STONEX SECURITIES INC.
November 17, 1995 - December 6, 2019
QUEST CAPITAL STRATEGIES, INC.
July 30, 1993 - August 27, 1994
TUSCANY EQUITY MANAGEMENT CORPORATI0N
May 22, 1991 - August 30, 1991
FIRST AFFILIATED SECURITIES
April 8, 1991 - May 6, 1991
DOUGLAS BREMEN & CO., INC.
July 3, 1984 - August 19, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 27, 1983 - July 10, 1984
GLOBAL CAPITAL SECURITIES, INC.
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 57TO
Date: 4/3/2021
Securities Trader ExamSeries 15
Date: 9/2/1986
Foreign Currency Options ExaminationSeries 5
Date: 7/28/1986
Interest Rate Options ExaminationCurrent 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
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