Mark S. Boone
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.
Mark Squire Boone was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2002. Mark had worked at 6 firms and has passed the Series 66, Series 56, 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
June 5, 2014 - January 28, 2015
T3 TRADING GROUP, LLC
May 31, 2012 - June 27, 2012
T3 TRADING GROUP, LLC
February 12, 2010 - March 11, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
June 1, 2009 - July 23, 2009
MORGAN STANLEY
June 1, 2009 - July 23, 2009
MORGAN STANLEY
November 20, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
October 2, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
May 30, 2003 - September 21, 2007
TRILLIUM BROKERAGE SERVICES, LLC
January 8, 2002 - June 3, 2003
HEARTLAND SECURITIES CORP.
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 56
Date: 5/30/2012
Proprietary Trader Qualification ExaminationSeries 55
Date: 1/22/2002
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
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.
