Susie C. Nguyen
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.
Susie C Nguyen, who also goes by Susie Chieu Giesecke, Susie Chieu Nguyen, Susie Nguyen, was a registered financial professional .
Susie is a previously registered financial professional and started their career in finance in 2001. Susie had worked at 2 firms and has passed the Series 66, SIE 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
August 26, 2015 - October 3, 2016
T3 TRADING GROUP, LLC
February 8, 2006 - September 3, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 1, 2006 - September 3, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 19, 2003 - November 18, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 19, 2003 - November 18, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 29, 2001 - September 30, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 18, 2001 - September 30, 2002
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
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.
