Eric R. Allen
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.
Eric Robert Allen was a registered financial professional .
Eric is a previously registered financial professional and started their career in finance in 1997. Eric had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 24, 2012 - February 11, 2014
T3 TRADING GROUP, LLC
May 6, 2011 - October 21, 2011
ECHOTRADE LLC
November 4, 2010 - April 15, 2011
DEUTSCHE BANK SECURITIES INC.
October 14, 2010 - April 15, 2011
DEUTSCHE BANK SECURITIES INC.
September 19, 2006 - December 31, 2010
EXEMPLAR CAPITAL MANAGEMENT
November 18, 2005 - October 11, 2010
LIGHTSPEED TRADING, LLC
April 18, 2002 - November 23, 2005
ELECTRONIC TRADING GROUP, LLC
January 17, 2002 - May 8, 2002
A.B. WATLEY, INC.
December 10, 1998 - October 22, 2001
ON-SITE TRADING, INC.
December 8, 1997 - March 15, 1998
ON-SITE TRADING, 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 62
Date: 12/5/1997
Corporate Securities Limited Representative ExaminationCurrent 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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