Charles M. Rauch
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 Michael Rauch, who also goes by Charles Michael Rauch Jr, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1993. Charles had worked at 12 firms and has passed the Series 63, 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
February 6, 2012 - June 25, 2013
T3 TRADING GROUP, LLC
April 19, 2011 - October 11, 2011
DIMENSION TRADING GROUP, LLC
February 12, 2010 - April 8, 2010
MADISON PROPRIETARY TRADING GROUP, LLC
October 23, 2007 - November 6, 2009
G-2 TRADING,LLC
April 27, 2007 - July 3, 2007
SPECTRUM TRADING, LLC
February 21, 2006 - October 27, 2006
FIS BROKERAGE & SECURITIES SERVICES LLC
February 27, 2004 - February 27, 2004
TRILLIUM BROKERAGE SERVICES, LLC
March 10, 2003 - January 2, 2004
SCHONFELD SECURITIES, LLC
October 29, 1997 - August 28, 2002
CARLIN EQUITIES, LLC
September 30, 1997 - October 10, 1997
CARLIN EQUITIES, LLC
December 11, 1995 - September 29, 1997
CASTLE SECURITIES CORP.
April 19, 1994 - November 21, 1995
DREYFUS BROKERAGE SERVICES, INC.
July 8, 1993 - February 17, 1994
CONTINENTAL BROKER-DEALER CORP.
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: 3/24/2003
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.
