Edward Gong
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.
Edward Gong was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1998. Edward had worked at 9 firms and has passed the Series 63, 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
November 7, 2014 - December 28, 2015
T3 TRADING GROUP, LLC
August 6, 2014 - November 7, 2014
WTS PROPRIETARY TRADING GROUP LLC
March 6, 2012 - September 7, 2012
HOLD BROTHERS CAPITAL LLC
November 13, 2008 - April 16, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
November 20, 2007 - April 2, 2008
ALPS DISTRIBUTORS, INC.
April 26, 2006 - April 18, 2007
E*TRADE SECURITIES LLC
December 13, 2004 - April 19, 2005
TD AMERITRADE, INC.
October 29, 2003 - December 2, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
April 19, 1999 - August 27, 2003
WORLDCO, L.L.C.
August 21, 1998 - April 7, 1999
NEBRASKA HUDSON COMPANY, 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: 7/12/1999
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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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