David S. Hochberg
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.
David Steven Hochberg was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1988. David had worked at 10 firms and has passed the Series 65, 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
March 22, 2017 - October 4, 2018
T3 TRADING GROUP, LLC
August 13, 2014 - September 2, 2015
COWEN PRIME SERVICES LLC
February 7, 2011 - September 2, 2015
COWEN PRIME SERVICES LLC
September 13, 2010 - August 18, 2011
SANDERS MORRIS LLC
November 5, 2009 - July 23, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
June 1, 2006 - November 9, 2009
SANDERS MORRIS LLC
May 24, 2006 - August 2, 2006
OTR GLOBAL TRADING LLC
January 14, 1997 - August 2, 2006
OTA LLC
February 28, 1995 - March 26, 1996
APEX CLEARING CORPORATION
December 10, 1993 - March 21, 1995
ADLER COLEMAN & CO., INC.
December 22, 1992 - April 30, 1993
FIRST OPTIONS OF CHICAGO, INC.
December 15, 1989 - August 21, 1991
WELLMONT SECURITIES, L.P.
November 23, 1988 - March 11, 1989
WELLMONT SECURITIES, L.P.
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: 6/25/1999
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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