Jeffrey E. Goldman
Professional summary
Jeffrey Eric Goldman was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jeffrey is a previously registered financial advisor and started their career in finance in 1991. Prior to being barred, Jeffrey had worked at 12 firms, which includes T3 TRADING GROUP LLC, JAG TRADING L.L.C., WORLD-XECUTION STRATEGIES, WTS PROPRIETARY TRADING GROUP LLC, GENESIS SECURITIES LLC, NATCITY INVESTMENTS INC., ROSENTHAL COLLINS EQUITIES L.L.C., MAY FINANCIAL CORPORATION, SERVICE ASSET MANAGEMENT COMPANY, KNIGHT CAPITAL MARKETS LLC, AMERIPRISE ADVISOR SERVICES INC., SECURIAN FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2016 - April 3, 2017
T3 TRADING GROUP, LLC
May 14, 2014 - November 18, 2014
JAG TRADING L.L.C.
February 7, 2013 - May 12, 2014
WORLD-XECUTION STRATEGIES
March 22, 2011 - May 12, 2014
WTS PROPRIETARY TRADING GROUP LLC
May 2, 2008 - July 12, 2010
GENESIS SECURITIES, LLC
May 19, 2006 - October 1, 2007
GENESIS SECURITIES, LLC
February 8, 2006 - April 4, 2006
NATCITY INVESTMENTS, INC.
April 15, 2005 - April 4, 2006
NATCITY INVESTMENTS, INC.
March 23, 2005 - May 10, 2005
ROSENTHAL COLLINS EQUITIES, L.L.C.
October 24, 2001 - October 20, 2004
MAY FINANCIAL CORPORATION
May 14, 2001 - October 17, 2001
SERVICE ASSET MANAGEMENT COMPANY
March 4, 1998 - May 4, 2001
KNIGHT CAPITAL MARKETS LLC
February 16, 1993 - February 19, 1998
AMERIPRISE ADVISOR SERVICES, INC.
May 17, 1991 - December 31, 1992
SECURIAN FINANCIAL SERVICES, 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: 9/24/1999
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 |
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