Henry Kumala
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.
Henry Kumala was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1998. Henry had worked at 5 firms and has passed the Series 63, SIE, Series 57, Series 56, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2017 - January 4, 2018
T3 TRADING GROUP, LLC
September 13, 2013 - August 29, 2014
WTS PROPRIETARY TRADING GROUP LLC
April 25, 2011 - August 2, 2012
WTS PROPRIETARY TRADING GROUP LLC
September 26, 2008 - February 23, 2009
FIS BROKERAGE & SECURITIES SERVICES LLC
August 24, 2007 - April 14, 2008
TAFFERER TRADING, LLC
October 21, 2003 - November 29, 2006
FIS BROKERAGE & SECURITIES SERVICES LLC
December 8, 1998 - October 23, 2003
WORLDCO, L.L.C.
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: 11/15/2013
Proprietary Trader Qualification ExaminationSeries 55
Date: 2/19/2000
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.
