Christopher G. Grubbs
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.
Christopher Garrett Grubbs was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1998. Christopher had worked at 10 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
December 1, 2016 - March 6, 2017
T3 TRADING GROUP, LLC
August 24, 2015 - November 15, 2016
FBN SECURITIES, INC.
September 9, 2014 - August 19, 2015
TULLETT PREBON FINANCIAL SERVICES LLC
February 13, 2013 - April 11, 2014
BRAVER STERN SECURITIES LLC
July 21, 2010 - March 25, 2011
CANTOR FITZGERALD & CO.
September 22, 2008 - April 22, 2010
BARCLAYS CAPITAL INC.
July 21, 2008 - September 22, 2008
LEHMAN BROTHERS INC.
September 9, 2002 - April 24, 2008
GOLDMAN SACHS & CO. LLC
February 10, 1999 - September 9, 2002
GOLDMAN SACHS EXECUTION & CLEARING, L.P.
June 26, 1998 - February 25, 1999
J.P. MORGAN SECURITIES LLC
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: 3/15/1999
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
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