Richard B. Nelson
Professional summary
Richard Brett Nelson is a registered financial professional currently at T3 TRADING GROUP, LLC located in New York, New York.
Richard is registered as a RR (Registered Representative) and started their career in finance in 2008. Richard has worked at 5 firms and has passed the Series 66, Series 62, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Brett Nelson's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 21, 2019 - Present
T3 TRADING GROUP, LLC
Office #1: 88 Pine Street 23rd Floor, New York, NY 10005November 4, 2015 - October 18, 2019
T3 TRADING GROUP, LLC
July 7, 2011 - October 12, 2015
JRL CAPITAL ADVISORS LLC
July 1, 2011 - October 12, 2015
JRL CAPITAL CORPORATION
October 6, 2009 - July 20, 2011
WFP SECURITIES
August 6, 2009 - July 20, 2011
WFP SECURITIES
May 27, 2008 - June 19, 2009
CROWELL, WEEDON & CO.
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 62
Date: 1/2/2023
Corporate Securities Limited Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/26/2008
Limited Representative-Equity Trader ExamFINRA
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.
