Arthur J. Gross
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.
Arthur J Gross, who also goes by Arthur Gross, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1987. Arthur had worked at 9 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2012 - January 11, 2013
T3 TRADING GROUP, LLC
August 8, 2011 - December 21, 2011
DIMENSION TRADING GROUP, LLC
October 21, 2010 - May 20, 2011
DME SECURITIES, LLC
January 24, 2008 - November 12, 2010
WALTER J. DOWD, INC.
October 27, 2006 - January 30, 2008
MAVEN SECURITIES, INC.
March 21, 2003 - October 27, 2006
GROSS, ARTHUR J
November 23, 2001 - March 24, 2003
DME SECURITIES, LLC
April 4, 1997 - July 27, 2001
PERSHING LLC
July 20, 1993 - July 31, 1995
MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.
July 21, 1987 - February 20, 1990
KAUFMANN, ALSBERG & 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
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.
