Holly M. Phass
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.
Holly Marie Phass, who also goes by Holly Marie Phass, was a registered financial professional .
Holly is a previously registered financial professional and started their career in finance in 1996. Holly had worked at 8 firms and has passed the Series 63, Series 57TO, SIE, 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
August 13, 2022 - November 2, 2022
T3 TRADING GROUP, LLC
May 10, 2006 - January 7, 2008
OPUS TRADING FUND LLC
July 3, 2003 - March 16, 2004
SCHONFELD SECURITIES, LLC
May 12, 1999 - May 13, 2003
ELECTRONIC TRADING GROUP, LLC
January 22, 1999 - March 18, 1999
BURLINGTON CAPITAL MARKETS INC.
March 25, 1998 - March 24, 1999
CARNEGIE CHILDS & COMPANY L.L.C.
August 15, 1996 - February 23, 1998
DOMINICK & DICKERMAN LLC
March 29, 1996 - May 17, 1996
ALEX. BROWN & SONS INCORPORATED
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 57TO
Date: 8/13/2022
Securities Trader ExamSeries 55
Date: 10/17/1998
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
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