James A. Askew
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.
James A Askew, who also goes by J Anthony Askew, James Anthony Askew, James Askew, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 10 firms and has passed the Series 63, SIE, 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 - January 6, 2015
T3 TRADING GROUP, LLC
October 15, 2013 - November 7, 2014
WTS PROPRIETARY TRADING GROUP LLC
January 8, 2010 - October 14, 2011
QUATTRO M SECURITIES INC.
February 29, 2008 - January 5, 2009
OMNI FINANCIAL GROUP, L.L.C.
April 23, 2007 - October 30, 2007
CHARLES JORDAN & CO., LLC
April 5, 2004 - May 27, 2005
GUNNALLEN FINANCIAL, INC
December 9, 1999 - December 31, 2003
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 30, 1996 - November 30, 1999
FIRST MONTAUK SECURITIES CORP.
June 14, 1988 - October 1, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 25, 1986 - June 6, 1988
H.J. MEYERS & 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.
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