James R. Ouellette
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.
James R Ouellette, CFP®, who also goes by James R. Ouellette, James R. Oullette, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2000. James had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 57, 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
March 23, 2017 - January 23, 2019
T3 TRADING GROUP, LLC
August 26, 2011 - December 15, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 26, 2011 - December 15, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 27, 2009 - July 18, 2011
CITIZENS SECURITIES, INC.
March 10, 2009 - July 18, 2011
CITIZENS SECURITIES, INC.
October 21, 2002 - December 8, 2008
FIDELITY DISTRIBUTORS COMPANY LLC
January 30, 2001 - October 3, 2002
EATON VANCE DISTRIBUTORS, INC.
March 29, 2000 - January 23, 2001
NATIXIS DISTRIBUTION, LLC
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
Current 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.
