Lance W. Shields Jr
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.
Lance Williams Shields Jr JR., who also goes by Lance W Shields, Lance Williams Shields Jr, Lance Williams Shields Jr., Lance Williams Shields, Lance Shields, was a registered financial professional .
Lance is a previously registered financial professional and started their career in finance in 1996. Lance had worked at 7 firms and has passed the Series 63, Series 56, 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
November 7, 2014 - January 2, 2015
T3 TRADING GROUP, LLC
June 6, 2014 - November 7, 2014
WTS PROPRIETARY TRADING GROUP LLC
March 14, 2013 - April 18, 2013
WTS PROPRIETARY TRADING GROUP LLC
July 17, 2009 - February 17, 2011
BRIGHT TRADING, LLC
August 5, 2008 - June 18, 2009
ECHOTRADE LLC
August 31, 2006 - March 30, 2007
ECHOTRADE LLC
April 24, 2006 - July 26, 2006
ECHOTRADE LLC
March 11, 2003 - March 19, 2003
NEWEDGE USA, LLC
December 6, 2000 - January 8, 2003
RUMSON CAPITAL, LLC
March 25, 1996 - March 20, 1998
TITLE 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 56
Date: 3/15/2013
Proprietary Trader Qualification ExaminationSeries 55
Date: 2/1/2001
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
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.
