Malcolm K. Doster
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.
Malcolm Kenyatta Doster, who also goes by Malcolm K Doster, was a registered financial professional .
Malcolm is a previously registered financial professional and started their career in finance in 1998. Malcolm had worked at 6 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 - February 18, 2015
T3 TRADING GROUP, LLC
March 23, 2011 - November 7, 2014
WTS PROPRIETARY TRADING GROUP LLC
April 9, 2007 - May 26, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
March 3, 2003 - April 7, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
April 17, 2002 - March 3, 2003
RUMSON CAPITAL, LLC
January 21, 2000 - March 1, 2002
CREDIT AGRICOLE SECURITIES (USA) INC.
April 8, 1998 - December 23, 1999
UBS FINANCIAL SERVICES 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: 6/5/2007
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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