Steven T. Misek
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.
Steven T. Misek, who also goes by Steven Todd Misek, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1999. Steven had worked at 5 firms and has passed the Series 63, Series 57TO, SIE, Series 56 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
October 21, 2019 - November 8, 2023
T3 TRADING GROUP, LLC
November 7, 2014 - October 18, 2019
T3 TRADING GROUP, LLC
June 19, 2014 - November 7, 2014
WTS PROPRIETARY TRADING GROUP LLC
January 23, 2012 - March 27, 2013
WTS PROPRIETARY TRADING GROUP LLC
June 16, 2011 - December 21, 2011
DIMENSION TRADING GROUP, LLC
July 20, 2000 - September 28, 2000
ON-SITE TRADING, INC.
July 28, 1999 - July 14, 2000
NAVILLUS SECURITIES, 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 56
Date: 1/21/2012
Proprietary Trader Qualification 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.
