Jesse L. Sullivan
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.
Jesse Lee Sullivan, who also goes by Jesse Lee Sullivan, Jesse Sullivan, was a registered financial professional .
Jesse is a previously registered financial professional and started their career in finance in 1994. Jesse had worked at 6 firms and has passed the Series 66, Series 63, Series 57TO, Series 7TO, 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
May 30, 2023 - November 2, 2023
T3 TRADING GROUP, LLC
March 29, 2021 - May 25, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
February 26, 2021 - May 25, 2023
AMERIPRISE FINANCIAL SERVICES, LLC
February 24, 2000 - November 2, 2001
BANC OF AMERICA SECURITIES LLC
October 1, 1999 - March 13, 2000
WELLS FARGO CLEARING SERVICES, LLC
September 24, 1997 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
December 14, 1994 - August 4, 1997
MONTGOMERY SECURITIES
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: 9/20/2023
Securities Trader ExamSeries 7TO
Date: 2/26/2021
General Securities 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.
