Roland Rojas
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.
Roland Rojas was a registered financial professional .
Roland is a previously registered financial professional and started their career in finance in 1995. Roland had worked at 12 firms and has passed the Series 63, Series 7TO, Series 99TO, Series 57TO, SIE, 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
March 23, 2021 - April 18, 2023
T3 TRADING GROUP, LLC
June 3, 2019 - August 7, 2020
DUANE STREET CAPITAL BD LLC
August 3, 2010 - February 22, 2017
MAYBANK SECURITIES USA INC.
May 6, 2009 - March 9, 2010
JESUP & LAMONT SECURITIES CORP
August 5, 2008 - March 26, 2009
LIBERTAS CAPITAL AMERICAS
May 18, 2005 - July 10, 2008
DBS VICKERS SECURITIES (USA) INC.
September 17, 2003 - May 6, 2005
DAIWA CAPITAL MARKETS AMERICA INC.
November 7, 2000 - September 10, 2003
CAZENOVE INCORPORATED
December 7, 1999 - June 6, 2000
TAI FOOK SECURITIES (U.S.) INC.
May 5, 1998 - October 28, 1998
SANTANDER INVESTMENT SECURITIES INC.
September 25, 1997 - March 17, 1998
PEREGRINE BROKERAGE INC.
August 14, 1995 - November 3, 1997
SOCGEN-CROSBY SECURITIES 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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 99TO
Date: 1/1/2023
Operations Professional ExaminationSeries 57TO
Date: 4/21/2021
Securities 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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