Jorge A. Diez
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.
Jorge Alejandro Diez was a registered financial professional .
Jorge is a previously registered financial professional and started their career in finance in 1994. Jorge had worked at 6 firms and has passed the Series 63, Series 56, Series 55, Series 62, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2011 - April 27, 2012
T3 TRADING GROUP, LLC
April 19, 2006 - September 27, 2007
WHEATLEY CAPITAL SERIES FUND LLC
April 14, 2003 - July 14, 2003
LIGHTSPEED PROFESSIONAL TRADING LLC
January 13, 1997 - April 11, 1997
MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.
April 10, 1996 - January 16, 1997
NATIONAL CLEARING CORP.
April 22, 1994 - April 26, 1996
AMERIPRISE ADVISOR SERVICES, 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
Series 56
Date: 10/19/2011
Proprietary Trader Qualification ExaminationSeries 55
Date: 4/28/2003
Limited Representative-Equity Trader ExamSeries 62
Date: 4/10/2003
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.
