Paul P. Neri
Professional summary
Paul Peter Neri, who also goes by Paul Peter Neri, is a registered financial professional currently at T3 TRADING GROUP, LLC located in New York, New York.
Paul is registered as a RR (Registered Representative) and started their career in finance in 1987. Paul has worked at 6 firms and has passed the Series 63, Series 57TO, Series 7TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Paul Peter Neri's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 9, 2023 - Present
T3 TRADING GROUP, LLC
Office #1: 88 Pine Street 23rd Floor, New York, NY 10005September 30, 2014 - February 17, 2021
AMG DISTRIBUTORS, INC.
April 13, 1992 - October 6, 2014
TWEEDY, BROWNE COMPANY LLC
July 22, 1991 - March 9, 1992
FLEET BROKERAGE SECURITIES, INC.
August 5, 1988 - December 21, 1990
FLEET BROKERAGE SECURITIES, INC.
November 16, 1987 - April 28, 1988
SHERWOOD CAPITAL, INC.
April 21, 1987 - September 11, 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: 3/9/2023
Securities Trader ExamSeries 7TO
Date: 3/9/2023
General Securities Representative ExaminationSeries 55
Date: 6/28/1999
Limited Representative-Equity Trader ExamFINRA
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
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