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Nicholas A. Boccio

T3 TRADING GROUP
New York, NY 10005
Some features on this profile are disabled
CRD#: 3167185
NB

Professional summary

Nicholas A Boccio, who also goes by Nicholas A Boccio, Nicholas August Boccio, Nick Boccio, is a registered financial professional currently at T3 TRADING GROUP, LLC located in New York, New York.

Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2000. Nicholas has worked at 8 firms and has passed the Series 66, Series 63, Series 7TO, Series 3, Series 57TO, SIE, Series 55 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Nicholas A Boccio | Nicholas August Boccio | Nick Boccio

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
(1) NAME: 1555 OPERATING GROUP LLC; DBA AUNT JAKE'S INV REL: Y ADD: 1555 SECOND AVENUE, NEW YORK, NY 10028 NATURE: FULL-SERVICE RESTAURANT POSITION: OWNER/PRINCIPAL START DATE: 09/01/2019 NO HRS/MO: 40 NO/HRS MO DUR TRADING: 0 DESCRIBE DUTIES: HANDLE ALL FINANCIAL MATTERS, STRATEGIC DIRECTION, AND GENERAL RESTAURANT OPERATIONS. (2) NAME: PROJECT INITITAIVE GROUP, LLC DBA THE PROJECT GROUP INV REL: Y ADD: RESIDENTIAL ADDRESS NATURE: RESIDENTIAL CONSTRUCTION REHAB POSITION: OWNER/MANAGING MEMBER START DATE: 12/01/2014 NO HRS/MO: 40 NO/HRS MO DUR TRADING: 0 DESCRIBE DUTIES: ACQUIRE DISTRESSED PROPERTIES FOR REHABILITATION.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Nicholas A Boccio's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 23, 2024 - Present

T3 TRADING GROUP, LLC

Office #1: 88 Pine Street 23rd Floor, New York, NY 10005
BD
CRD#: 154431
New York, NY
Past

January 10, 2024 - August 16, 2024

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
SYOSSET, NY
Past

November 21, 2023 - August 16, 2024

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SYOSSET, NY
Past

June 12, 2020 - August 18, 2023

T3 TRADING GROUP, LLC

BD
CRD#: 154431
NEW YORK, NY
Past

January 3, 2005 - March 11, 2005

FTN EQUITY CAPITAL MARKETS CORP.

BD
CRD#: 119625
CLEVELAND, OH
Past

August 16, 2004 - December 13, 2004

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
BOLINGBROOK, IL
Past

February 18, 2004 - August 10, 2004

COVA CAPITAL PARTNERS LLC

BD
CRD#: 109761
SYOSSET, NY
Past

October 22, 2003 - January 22, 2004

LIGHTSPEED PROFESSIONAL TRADING LLC

BD
CRD#: 39293
NEW YORK, NY
Past

June 5, 2003 - October 22, 2003

TAFFERER TRADING, LLC

BD
CRD#: 36816
NEW YORK, NY
Past

March 26, 2003 - April 15, 2003

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
BOLINGBROOK, IL
Past

August 29, 2000 - January 14, 2003

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/13/2023
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/4/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/21/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 3/5/2023
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 57TO
Date: 6/12/2020
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 5/23/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 11/10/2003
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 8/28/2000
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TT
T3 TRADING GROUP, LLC
T3 TRADING GROUP, LLC | TITUS SECURITIES, LLC

CRD#: 154431 / SEC#: , 8-68639

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
88 Pine Street 23rd Floor, New York, NY 10005
Mailing Address
88 Pine Street 23rd Floor, New York, NY 10005
Phone number
(646) 346-1700
Established
Delaware since 06/08/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
T3 COMPANIES, LLCMEMBER/OWNER
LI, XIAOYANPRINCIPAL FINANCIAL OFFICER4465893
LI, XIAOYANPRINCIPAL OPERATIONS OFFICER4465893
LI, XIAOYANFINOP4465893
MARQUIS, GARRET CHRISTIANCHEIF EXECUTIVE OFFICER3198686
PIKOWSKI, STEVENCHIEF COMPLIANCE OFFICER1562340
REDLER, SCOTT JASON JRCHIEF STRATEGIC OFFICER2680492

Disclosures

Regulatory Event3

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.

Company Information

T3 TRADING GROUP, LLC

CRD#: 154431New York, NY 10005

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