Allison M. Zayas
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.
Allison Marie Zayas, who also goes by Allison Marie Ferdinand, was a registered financial professional .
Allison is a previously registered financial professional and started their career in finance in 1997. Allison had worked at 7 firms and has passed the Series 63 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 18, 2012 - June 5, 2013
T3 TRADING GROUP, LLC
December 1, 2009 - May 20, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
April 18, 2007 - November 27, 2007
DIMENSION BROKERAGE, LLC
February 19, 2004 - April 4, 2005
CITIGROUP GLOBAL MARKETS INC.
May 31, 2002 - August 29, 2002
WORLD GROUP SECURITIES, INC.
September 18, 1998 - June 5, 2000
NATIONAL CLEARING CORP.
August 19, 1997 - September 20, 1997
NATIONAL CLEARING CORP.
July 16, 1997 - July 18, 1997
SHAMUS GROUP, 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
Current 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.
