Nicholas M. Conforti
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.
Nicholas Michael Conforti, who also goes by Ned Conforti, Nick Conforti, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1987. Nicholas had worked at 7 firms and has passed the Series 63, SIE, Series 55 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
January 28, 2019 - February 18, 2020
T3 TRADING GROUP, LLC
May 2, 2017 - January 23, 2019
NATALLIANCE SECURITIES, LLC
April 23, 2014 - January 11, 2017
WEEDEN & CO.L.P.
April 1, 2002 - April 21, 2014
COWEN EXECUTION SERVICES LLC
July 7, 1997 - April 1, 2002
AUTRANET, LLC
August 23, 1994 - May 14, 1996
REUTERS C CORPORATION
February 25, 1992 - August 1, 1994
THAMESWAY INC.
January 1, 1987 - February 10, 1992
AUTRANET, LLC
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: 1/8/2000
Limited Representative-Equity 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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