Jodi Guralnick
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.
Jodi Guralnick, who also goes by Jodi Ellen Guralnick, was a registered financial professional .
Jodi is a previously registered financial professional and started their career in finance in 1987. Jodi had worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 57 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
October 21, 2019 - October 21, 2021
T3 TRADING GROUP, LLC
January 24, 2018 - October 18, 2019
T3 TRADING GROUP, LLC
March 8, 1990 - October 13, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 9, 1989 - January 31, 1990
CITIGROUP GLOBAL MARKETS INC.
August 25, 1989 - September 28, 1989
PRUDENTIAL EQUITY GROUP, LLC
August 4, 1987 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
April 29, 1987 - June 24, 1987
THE STUART-JAMES COMPANY, INCORPORATED
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 57TO
Date: 1/11/2024
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
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