David C. Smith
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.
David C Smith, who also goes by David C Smith, David Carter Smith, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1999. David had worked at 8 firms and has passed the Series 63, Series 66, Series 57TO, Series 7TO, 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
December 8, 2022 - November 14, 2024
T3 TRADING GROUP, LLC
October 1, 2021 - October 27, 2022
FIDELITY BROKERAGE SERVICES LLC
February 24, 2015 - August 5, 2021
T3 TRADING GROUP, LLC
October 30, 2013 - September 30, 2014
BRIGHT TRADING, LLC
February 18, 2013 - August 29, 2013
WTS PROPRIETARY TRADING GROUP LLC
August 1, 2012 - February 5, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 4, 2012 - February 5, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 2, 2011 - March 13, 2012
WTS PROPRIETARY TRADING GROUP LLC
April 1, 2008 - July 21, 2010
BRIGHT TRADING, LLC
June 9, 2003 - October 17, 2003
CITICORP INVESTMENT SERVICES
October 10, 2000 - December 2, 2002
UBS FINANCIAL SERVICES INC.
September 18, 2000 - December 2, 2002
UBS FINANCIAL SERVICES INC.
April 8, 1999 - July 12, 2000
TD AMERITRADE, 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 ExamSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent 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.
