David Flynn
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.
David Flynn, who also goes by David Jon Flynn, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1994. David had worked at 8 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2019 - June 5, 2024
T3 TRADING GROUP, LLC
November 7, 2014 - October 18, 2019
T3 TRADING GROUP, LLC
July 31, 2014 - November 7, 2014
WTS PROPRIETARY TRADING GROUP LLC
September 22, 2011 - April 1, 2013
HOLD BROTHERS CAPITAL LLC
August 16, 2004 - October 11, 2012
TAFFERER TRADING, LLC
June 8, 2004 - August 17, 2004
KING FINANCIAL SERVICES, INC.
October 10, 2001 - January 21, 2003
TAFFERER TRADING, LLC
August 31, 2001 - October 9, 2001
BLACKWOOD SECURITIES, LLC
December 15, 1995 - October 1, 2001
ON-SITE TRADING, INC.
May 24, 1994 - November 21, 1995
ICAHN & CO., 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 11/1/1999
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.
