Chaim K. Schwartz
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.
Chaim K Schwartz, who also goes by Chaim Schwartz, was a registered financial professional .
Chaim is a previously registered financial professional and started their career in finance in 2003. Chaim had worked at 6 firms and has passed the SIE, 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
March 12, 2015 - January 6, 2017
T3 TRADING GROUP, LLC
April 14, 2011 - February 1, 2013
LEGEND TRADING, LLC
October 22, 2009 - May 19, 2010
LEGEND TRADING, LLC
March 3, 2009 - June 16, 2009
LEGEND SECURITIES, INC.
February 22, 2007 - July 26, 2007
SPECTRUM TRADING, LLC
March 3, 2003 - February 27, 2007
FIS BROKERAGE & SECURITIES SERVICES LLC
January 27, 2003 - March 3, 2003
RUMSON CAPITAL, LLC
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: 1/24/2003
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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