Stephen Balsam
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.
Stephen Balsam, who also goes by Stephen Balsam, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1995. Stephen had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 55 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
April 6, 2017 - November 13, 2017
T3 TRADING GROUP, LLC
April 15, 2016 - February 28, 2017
CHIMERA SECURITIES, LLC
March 1, 2013 - April 21, 2015
EAB CAPITAL ADVISORS, LLC
September 8, 2011 - May 17, 2012
T3 TRADING GROUP, LLC
May 4, 2011 - August 31, 2011
COASTAL TRADE SECURITIES, LLC
March 26, 2009 - August 30, 2010
ECHOTRADE LLC
August 2, 2007 - April 1, 2009
J.H. DARBIE & CO., INC.
April 12, 2006 - July 23, 2007
ECHOTRADE LLC
April 16, 2003 - September 4, 2003
SCHONFELD SECURITIES, LLC
August 24, 2000 - November 22, 2002
RUMSON CAPITAL, LLC
December 10, 1996 - January 16, 1997
ROBERT THOMAS SECURITIES, INC
June 17, 1996 - December 2, 1996
GRUNTAL & CO., L.L.C.
September 20, 1995 - May 21, 1996
AMERICORP SECURITIES, 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: 11/30/2000
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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