Chaim Slomiuc
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 Slomiuc, who also goes by James Slomiuc, James Slomuic, was a registered financial professional .
Chaim is a previously registered financial professional and started their career in finance in 1996. Chaim had worked at 8 firms and has passed the Series 63, Series 56, Series 55, Series 7 and Series 4 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 - August 7, 2015
T3 TRADING GROUP, LLC
August 7, 2014 - November 7, 2014
WTS PROPRIETARY TRADING GROUP LLC
February 27, 2004 - October 1, 2004
TRILLIUM BROKERAGE SERVICES, LLC
July 19, 2000 - October 24, 2003
WORLDCO, L.L.C.
February 23, 2000 - May 10, 2000
REPUBLIC FINANCIAL SERVICES CORPORATION
July 8, 1999 - October 27, 1999
WORLD FIRST FINANCIAL SERVICES, INC.
August 8, 1997 - June 15, 1998
WASHINGTON DISCOUNT BROKERAGE CORP.
February 12, 1996 - December 4, 1998
TD AMERITRADE, 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 56
Date: 8/7/2014
Proprietary Trader Qualification ExaminationSeries 55
Date: 8/30/2000
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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