Howard E. Sloan
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.
Howard Evan Sloan, who also goes by Howard Evan Sloan, Howard E Sloan, was a registered financial professional .
Howard is a previously registered financial professional and started their career in finance in 1984. Howard had worked at 10 firms and has passed the Series 63, SIE, Series 57, Series 55, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 24, 2020 - June 19, 2020
T3 TRADING GROUP, LLC
October 16, 2017 - January 25, 2019
T3 TRADING GROUP, LLC
June 13, 2016 - December 23, 2016
T3 TRADING GROUP, LLC
October 13, 2003 - November 12, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
September 22, 2003 - October 13, 2003
NAVILLUS SECURITIES, INC.
March 18, 2002 - October 7, 2002
WORLDCO, L.L.C.
February 28, 2000 - September 11, 2000
WORLDCO, L.L.C.
September 14, 1999 - February 29, 2000
SCHONFELD SECURITIES, LLC
August 1, 1999 - September 3, 1999
RUMSON CAPITAL, LLC
April 8, 1999 - June 23, 1999
BISHOP, ROSEN & CO., INC.
September 24, 1998 - October 5, 1998
ON-SITE TRADING, INC.
May 26, 1998 - August 3, 1998
HUDSON SECURITIES,INC.
May 3, 1994 - April 28, 1998
SCHONFELD SECURITIES, LLC
March 5, 1984 - August 27, 1984
FORESTERS FINANCIAL SERVICES, 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 55
Date: 6/2/1999
Limited Representative-Equity Trader ExamCurrent 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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