Thomas R. Marks
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.
Thomas Randall Marks was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1995. Thomas had worked at 15 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, Series 57TO, 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
July 1, 2020 - October 25, 2021
T3 TRADING GROUP, LLC
September 19, 2018 - June 17, 2020
CCO CAPITAL, LLC
August 8, 2017 - September 7, 2018
SB ADVISORY, LLC
June 15, 2017 - September 7, 2018
IFS SECURITIES
October 14, 2016 - June 23, 2017
T3 TRADING GROUP, LLC
September 10, 2013 - December 10, 2015
MML INVESTORS SERVICES, LLC
June 21, 2013 - December 10, 2015
MML INVESTORS SERVICES, LLC
October 3, 2012 - June 18, 2013
INVEST FINANCIAL CORPORATION
November 5, 2010 - January 6, 2012
REALTY CAPITAL SECURITIES, LLC
November 14, 2003 - July 14, 2010
LINCOLN FINANCIAL DISTRIBUTORS, INC.
July 14, 2003 - November 14, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 14, 2003 - November 15, 2003
OSAIC FA, INC.
July 25, 2000 - August 12, 2002
GLOBAL ATLANTIC DISTRIBUTORS, LLC
March 7, 2000 - July 6, 2000
J.C. BRADFORD & CO.
April 11, 1997 - May 4, 1999
FIRST UNION BROKERAGE SERVICES, INC.
June 27, 1996 - March 14, 1997
AMSOUTH INVESTMENT SERVICES, INC.
January 6, 1995 - July 26, 1996
UBS FINANCIAL 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 7TO
Date: 3/31/2024
General Securities Representative ExaminationSeries 57TO
Date: 3/31/2024
Securities 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.
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