Alison A. Brackett
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.
Alison Ada Brackett, who also goes by Ali Brackett, Alison Ada Brake, Alison Brake Brakett, was a registered financial professional .
Alison is a previously registered financial professional and started their career in finance in 1986. Alison had worked at 16 firms and has passed the Series 63, Series 55, Series 7, Series 53, Series 8, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2012 - June 8, 2012
T3 TRADING GROUP, LLC
January 1, 2011 - October 7, 2011
MSI FINANCIAL SERVICES, INC.
September 25, 2008 - February 11, 2009
STOCKCROSS FINANCIAL SERVICES, INC.
February 4, 2008 - October 15, 2008
VIEWTRADE SECURITIES, INC.
August 31, 2006 - February 14, 2008
EMPIRE FINANCIAL GROUP, INC.
January 3, 2006 - February 8, 2006
OPPENHEIMER & CO. INC.
July 27, 2005 - December 7, 2005
MORGAN STANLEY DW INC.
August 10, 2004 - January 24, 2005
FIRST AMERICAN CAPITAL AND TRADING CORPORATION
November 10, 2003 - February 11, 2004
TRADESTATION SECURITIES, INC.
November 26, 2002 - January 31, 2003
LAVAFLOW, INC.
May 24, 2002 - January 2, 2003
NEXTRADE
October 16, 2000 - April 24, 2002
HILL THOMPSON MAGID & CO., INC.
September 6, 2000 - October 12, 2000
R.K. GRACE & COMPANY
July 7, 1987 - February 24, 2000
HERZOG, HEINE, GEDULD, LLC
January 7, 1987 - June 5, 1987
CITIGROUP GLOBAL MARKETS INC.
July 23, 1986 - October 22, 1986
LEHMAN BROTHERS 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: 5/3/1999
Limited Representative-Equity Trader ExamSeries 8
Date: 12/10/1993
General Securities Sales Supervisor Examination (Options Module & General Module)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.
