Chi C. Tseng
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.
Chi Chang Tseng, who also goes by Charles Tseng, Charlie Tseng, Chi Chang Tseng, Chichang Tseng, was a registered financial professional .
Chi is a previously registered financial professional and started their career in finance in 1998. Chi had worked at 6 firms and has passed the Series 66, Series 63, Series 57TO, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 22, 2019 - July 5, 2023
T3 TRADING GROUP, LLC
January 12, 2017 - October 18, 2019
T3 TRADING GROUP, LLC
May 8, 2014 - October 24, 2016
T3 TRADING GROUP, LLC
July 19, 2010 - May 14, 2012
ECHOTRADE LLC
May 19, 2006 - September 12, 2008
PMK SECURITIES & RESEARCH, INC.
August 31, 2005 - September 12, 2008
PMK SECURITIES & RESEARCH, INC.
July 11, 2000 - August 29, 2005
MORGAN STANLEY DW INC.
July 11, 2000 - August 29, 2005
MORGAN STANLEY DW INC.
October 14, 1998 - June 8, 2000
METROPOLITAN LIFE INSURANCE COMPANY
October 14, 1998 - June 8, 2000
MSI FINANCIAL SERVICES, 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 57TO
Date: 1/2/2023
Securities 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.
