Kevin J. Shires
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 John Shires was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 1986. Kevin had worked at 12 firms and has passed the Series 63, SIE 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 - February 12, 2015
T3 TRADING GROUP, LLC
October 14, 2011 - November 7, 2014
WTS PROPRIETARY TRADING GROUP LLC
December 21, 2007 - March 28, 2011
MADISON PROPRIETARY TRADING GROUP, LLC
May 7, 2007 - January 3, 2008
COWEN EXECUTION SERVICES LLC
September 15, 2005 - July 25, 2006
J.P. MORGAN SECURITIES INC.
March 30, 2000 - September 12, 2005
BANC OF AMERICA SECURITIES LLC
October 1, 1999 - March 24, 2000
WELLS FARGO CLEARING SERVICES, LLC
March 6, 1998 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
May 27, 1997 - March 27, 1998
TUCKER ANTHONY INCORPORATED
January 18, 1991 - May 14, 1997
MORGAN STANLEY DW INC.
November 25, 1986 - December 13, 1986
MONVEST SECURITIES, INC.
November 25, 1986 - December 20, 1990
KEYBANC CAPITAL MARKETS 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.
