Dennis J. Murphy
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.
Dennis John Murphy, who also goes by Dennis J (jr) Murphy, Dennis John Murphy Jr, was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1997. Dennis had worked at 8 firms and has passed the Series 65, Series 63, 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
May 1, 2012 - July 11, 2014
T3 TRADING GROUP, LLC
March 24, 2011 - May 1, 2012
G-2 TRADING,LLC
April 24, 2008 - March 25, 2011
MADISON PROPRIETARY TRADING GROUP, LLC
May 26, 2004 - December 21, 2007
THOMAS GROUP CAPITAL
April 3, 2002 - September 3, 2002
CANACCORD GENUITY SECURITIES LLC
February 1, 2000 - April 3, 2002
J.P. MORGAN SECURITIES INC.
June 22, 1998 - February 1, 2000
HAMBRECHT & QUIST LLC
April 7, 1997 - June 19, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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: 6/25/2004
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
