David L. Capell
Professional summary
David Lee Capell, who also goes by David L Capell, is a registered financial professional currently at T3 TRADING GROUP, LLC located in Matawan, New Jersey.
David is registered as a RR (Registered Representative) and started their career in finance in 1999. David has worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view David Lee Capell's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 25, 2018 - Present
T3 TRADING GROUP, LLC
Office #1: 1000 Route 34 South, Matawan, NJ 07747March 5, 2012 - May 14, 2018
HOLD BROTHERS CAPITAL LLC
June 9, 2010 - October 11, 2012
TAFFERER TRADING, LLC
March 28, 2003 - June 9, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
December 23, 1999 - March 6, 2003
KNIGHT CAPITAL AMERICAS, L.P.
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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 4/10/2000
Limited Representative-Equity Trader ExamFINRA
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
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