Rory A. Stace
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.
Rory Adam Stace was a registered financial professional .
Rory is a previously registered financial professional and started their career in finance in 1990. Rory had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 57, Series 87, Series 86, Series 7, Series 55 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 7, 2018 - November 4, 2020
T3 TRADING GROUP, LLC
September 10, 2007 - August 26, 2009
NATIONAL SECURITIES CORPORATION
July 8, 2003 - January 11, 2005
ELECTRONIC TRADING GROUP, LLC
June 14, 2000 - October 10, 2002
BANC OF AMERICA SECURITIES LLC
December 17, 1998 - April 18, 2000
ROTHSCHILD & CO US INC.
November 21, 1991 - January 11, 1994
CHARLES SCHWAB & CO., INC.
April 24, 1990 - August 10, 1990
BLINDER, ROBINSON & CO., 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: 7/21/2003
Limited Representative-Equity Trader ExamSeries 8
Date: 4/23/1993
General Securities Sales Supervisor Examination (Options Module & General Module)Current 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.
