Louis J. Spina
Professional summary
Louis Joseph Spina was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Louis is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Louis had worked at 6 firms, which includes T3 TRADING GROUP LLC, ECHOTRADE LLC, BARCLAYS CAPITAL INC., LEHMAN BROTHERS INC., VAN DER MOOLEN SPECIALISTS USA LLC, MCKENNA CLOUD & CO..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2013 - November 20, 2013
T3 TRADING GROUP, LLC
October 25, 2011 - September 6, 2013
ECHOTRADE LLC
June 2, 2010 - October 21, 2011
ECHOTRADE LLC
September 22, 2008 - April 9, 2010
BARCLAYS CAPITAL INC.
December 17, 2007 - September 22, 2008
LEHMAN BROTHERS INC.
August 1, 2001 - January 8, 2008
VAN DER MOOLEN SPECIALISTS USA, LLC
May 23, 1984 - May 5, 1986
MCKENNA CLOUD & CO.
State Registrations and Notice Filings
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Exams
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 |
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