Donald Lee
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.
Donald Lee, who also goes by Donald Mark Lee, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1996. Donald had worked at 10 firms and has passed the Series 63, Series 7TO, SIE, Series 57, Series 7, Series 62 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 18, 2021 - June 9, 2023
T3 TRADING GROUP, LLC
February 26, 2021 - August 9, 2021
R. F. LAFFERTY & CO., INC.
October 21, 2019 - February 26, 2021
T3 TRADING GROUP, LLC
May 8, 2018 - October 18, 2019
T3 TRADING GROUP, LLC
January 31, 2011 - May 14, 2012
COASTAL TRADE SECURITIES, LLC
January 28, 2011 - October 27, 2011
OCEAN VIEW CAPITAL, LLC
June 9, 2008 - September 23, 2009
ECHOTRADE LLC
September 28, 2004 - May 6, 2008
EVOLUTION FINANCIAL TECHNOLOGIES, LLC
October 28, 2002 - October 14, 2004
CARLIN EQUITIES, LLC
March 13, 2002 - September 16, 2002
A.B. WATLEY, INC.
April 7, 1999 - March 7, 2000
SORT SECURITIES, LLC.
January 16, 1996 - May 21, 1997
TAFFERER TRADING, LLC
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 7TO
Date: 3/6/2021
General Securities Representative ExaminationSeries 62
Date: 1/15/1996
Corporate Securities Limited Representative ExaminationCurrent 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.
