Lawrence M. Hoes
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.
Lawrence Matthew Hoes was a registered financial professional .
Lawrence is a previously registered financial professional and started their career in finance in 1989. Lawrence had worked at 7 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 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 - December 12, 2019
T3 TRADING GROUP, LLC
November 7, 2014 - October 18, 2019
T3 TRADING GROUP, LLC
February 1, 2012 - November 7, 2014
WTS PROPRIETARY TRADING GROUP LLC
June 10, 2011 - December 21, 2011
DIMENSION TRADING GROUP, LLC
April 1, 2008 - January 27, 2009
BRIGHT TRADING, LLC
December 18, 2001 - March 22, 2006
FIRST HUDSON FINANCIAL GROUP, INC.
October 18, 2000 - August 21, 2003
NATIONAL SECURITIES CORPORATION
November 22, 1989 - October 27, 2000
SHARPE CAPITAL, INC.
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: 12/14/2000
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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