Mario E. Carias
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.
Mario Enrique Carias, who also goes by Mario Enrique Cariasborjas, was a registered financial professional .
Mario is a previously registered financial professional and started their career in finance in 1992. Mario had worked at 7 firms and has passed the Series 63, Series 56, 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
April 27, 2011 - March 12, 2012
T3 TRADING GROUP, LLC
July 22, 2004 - March 11, 2005
UNIBANCO SECURITIES INC.
January 28, 2004 - July 16, 2004
CARLIN EQUITIES, LLC
December 16, 1998 - July 15, 2002
CREDIT AGRICOLE SECURITIES (USA) INC.
May 16, 1995 - April 22, 1996
ING BARING (U.S.) SECURITIES, INC.
April 14, 1994 - May 16, 1995
INTERNATIONALE NEDERLANDEN (U.S.) SECURITIES CORPORATION
October 9, 1992 - March 25, 1994
ABN AMRO 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 56
Date: 11/12/2011
Proprietary Trader Qualification ExaminationSeries 55
Date: 6/20/2000
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
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.
