Charles Johnson
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.
Charles Johnson, who also goes by Charles J Johnson, Charles John Johnson, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1984. Charles had worked at 10 firms and has passed the Series 63, SIE, Series 55 and Series 7 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 - May 19, 2016
T3 TRADING GROUP, LLC
January 31, 2012 - November 7, 2014
WTS PROPRIETARY TRADING GROUP LLC
April 19, 2011 - January 10, 2012
DIMENSION TRADING GROUP, LLC
February 4, 2009 - July 12, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
July 14, 2006 - June 29, 2007
TAFFERER TRADING, LLC
December 5, 1994 - February 28, 1995
DOMESTIC SECURITIES, INC.
July 31, 1992 - June 7, 1993
ALL-TECH DIRECT, INC.
December 5, 1990 - February 22, 1991
IDS LIFE INSURANCE COMPANY
December 5, 1990 - February 22, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
November 21, 1984 - February 4, 1985
MONVEST SECURITIES, 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: 9/13/2006
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
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.
