John H. Dolan
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.
John Henry Dolan was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1995. John had worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2014 - December 19, 2014
T3 TRADING GROUP, LLC
June 9, 2014 - November 7, 2014
WTS PROPRIETARY TRADING GROUP LLC
October 1, 2012 - June 11, 2014
AVATAR SECURITIES, LLC
March 28, 2012 - September 24, 2012
T3 TRADING GROUP, LLC
April 8, 2011 - March 26, 2012
AVATAR SECURITIES, LLC
June 3, 2009 - May 27, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
April 26, 2004 - May 4, 2009
NEEDHAM & COMPANY, LLC
October 4, 1999 - April 20, 2004
PERSHING ADVISOR SOLUTIONS LLC
July 30, 1997 - September 30, 1999
PERSHING LLC
June 2, 1997 - August 4, 1997
HARRISDIRECT LLC
January 1, 1996 - June 2, 1997
PERSHING LLC
July 11, 1995 - October 9, 1995
HENNION & WALSH, 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 55
Date: 9/15/1999
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
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