Philip F. Barres
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.
Philip Foster Barres, who also goes by Philip Barres, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1991. Philip had worked at 12 firms and has passed the Series 63, Series 56 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 8, 2011 - March 27, 2013
T3 TRADING GROUP, LLC
March 3, 2003 - May 14, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
November 13, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
May 10, 1999 - December 22, 2000
TRADEPORTAL SECURITIES, INC.
January 14, 1998 - March 23, 1998
QUANTUM GROUP, LTD.
September 15, 1997 - May 17, 1999
LADENBURG THALMANN & CO. INC.
January 29, 1996 - September 16, 1997
RICKEL & ASSOCIATES, INC.
December 20, 1994 - February 1, 1996
JOSEPHTHAL & CO., INC.
December 20, 1993 - January 1, 1995
TUSCANY EQUITY MANAGEMENT CORPORATI0N
April 14, 1993 - January 3, 1994
PRUDENTIAL EQUITY GROUP, LLC
November 21, 1991 - May 4, 1993
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 30, 1991 - December 2, 1991
BILTMORE 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: 11/7/2011
Proprietary Trader Qualification ExaminationCurrent 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.
