Thomas P. Ocallaghan
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.
Thomas Patrick Ocallaghan, who also goes by Thomas Patrick O'callaghan, Thomas P Ocallaghan, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1999. Thomas had worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 7A exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 13, 2014 - May 7, 2015
T3 TRADING GROUP, LLC
November 4, 2013 - September 16, 2014
PHX FINANCIAL, INC.
May 4, 2012 - October 10, 2012
T3 TRADING GROUP, LLC
April 14, 2011 - April 10, 2012
G-2 TRADING,LLC
April 15, 2008 - April 1, 2011
DASH FINANCIAL TECHNOLOGIES LLC
February 28, 2008 - April 16, 2008
J & D SECURITIES LLC
June 10, 1999 - November 13, 2007
TP ICAP GLOBAL MARKETS AMERICAS LLC
May 19, 1999 - October 19, 2006
TP ICAP GLOBAL MARKETS AMERICAS 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 7A
Date: 4/26/2000
Floor Broker Representative 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
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.
