Thomas B. Kintz
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 Bradley Kintz, who also goes by Thomas Kintz, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1995. Thomas had worked at 5 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 31 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
August 24, 2022 - March 12, 2024
T3 TRADING GROUP, LLC
February 20, 2017 - May 26, 2022
BENJAMIN F. EDWARDS & COMPANY, INC.
February 3, 2017 - May 26, 2022
BENJAMIN F. EDWARDS & COMPANY, INC.
October 5, 2009 - February 6, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
October 5, 2009 - February 6, 2017
AMERIPRISE FINANCIAL SERVICES, LLC
January 17, 2008 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
October 5, 2007 - October 5, 2009
AMERIPRISE ADVISOR SERVICES, INC.
November 22, 1995 - October 11, 2007
A. G. EDWARDS & SONS, INC.
November 20, 1995 - October 11, 2007
A. G. EDWARDS & SONS, 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: 10/3/2022
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
