Alexander M. Pomper
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.
Alexander Mark Pomper was a registered financial professional .
Alexander is a previously registered financial professional and started their career in finance in 1984. Alexander had worked at 7 firms and has passed the Series 63, Series 56, Series 7 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
November 7, 2014 - December 19, 2014
T3 TRADING GROUP, LLC
December 15, 2011 - November 7, 2014
WTS PROPRIETARY TRADING GROUP LLC
November 9, 1994 - December 3, 1998
JOSEPHTHAL & CO., INC.
January 13, 1994 - June 29, 1995
D. BLECH & COMPANY, INCORPORATED
December 1, 1992 - January 7, 1994
REICH & CO., INC.
November 9, 1990 - December 1, 1992
REICH & CO., INC.
March 22, 1984 - November 7, 1990
BAIRD, PATRICK & CO., 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 56
Date: 12/14/2011
Proprietary Trader Qualification 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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