Kevin F. Mccarthy
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.
Kevin Francis Mccarthy, who also goes by Kevin F Mccarthy, was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1984. Kevin had worked at 21 firms and has passed the Series 63, Series 7TO, Series 57TO, SIE, Series 57, 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
October 21, 2019 - June 19, 2020
T3 TRADING GROUP, LLC
August 25, 2017 - October 18, 2019
T3 TRADING GROUP, LLC
October 2, 2015 - February 10, 2016
ABEL/NOSER CORP.
October 2, 2012 - August 27, 2015
THE BENCHMARK COMPANY, LLC
May 8, 2012 - July 12, 2012
B. RILEY & CO., LLC
October 11, 2011 - April 4, 2012
DETWILER FENTON & CO.
August 4, 2010 - September 8, 2011
GLEACHER & COMPANY SECURITIES, INC.
February 16, 2010 - August 5, 2010
AURIGA USA, LLC
December 8, 2006 - February 12, 2010
PALI CAPITAL, INC.
January 4, 2006 - November 30, 2006
COWEN EXECUTION SERVICES LLC
December 4, 2002 - January 9, 2006
SUSQUEHANNA FINANCIAL GROUP, LLLP
May 4, 2000 - December 2, 2002
THOMAS WEISEL PARTNERS LLC
July 6, 1999 - May 9, 2000
PRUDENTIAL EQUITY GROUP, LLC
October 20, 1998 - July 14, 1999
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
May 22, 1995 - October 8, 1998
DEUTSCHE IXE, LLC
January 26, 1995 - May 25, 1995
NEBRASKA HUDSON COMPANY, INC.
June 21, 1993 - September 10, 1993
KIDDER, PEABODY & CO. INCORPORATED
March 19, 1992 - May 17, 1993
FIDELITY BROKERAGE SERVICES LLC
March 27, 1991 - June 12, 1991
KRUPP SECURITIES CORPORATION
January 25, 1988 - October 4, 1989
MORGAN STANLEY DW INC.
April 11, 1985 - February 2, 1988
UBS FINANCIAL SERVICES INC.
August 21, 1984 - April 22, 1985
BLINDER, ROBINSON & 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 7TO
Date: 3/19/2024
General Securities Representative ExaminationSeries 57TO
Date: 3/19/2024
Securities 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
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.
