Charles E. Steuerwald
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.
Charles Edward Steuerwald was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1993. Charles had worked at 8 firms and has passed the Series 63, SIE 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 7, 2014 - June 27, 2017
T3 TRADING GROUP, LLC
May 28, 2013 - November 7, 2014
WTS PROPRIETARY TRADING GROUP LLC
April 11, 2011 - May 24, 2013
AVATAR SECURITIES, LLC
January 14, 2008 - November 10, 2010
G-2 TRADING,LLC
October 17, 1996 - November 6, 2002
CARLIN EQUITIES, LLC
September 16, 1996 - October 16, 1996
ON-SITE TRADING, INC.
July 18, 1995 - October 13, 1997
WIN CAPITAL CORP.
April 14, 1993 - November 23, 1993
SOUTH RICHMOND 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
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
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