Brandon K. Oakley
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.
Brandon Keith Oakley, who also goes by Brandon K Oakley, was a registered financial professional .
Brandon is a previously registered financial professional and started their career in finance in 2003. Brandon 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
May 15, 2017 - October 25, 2018
T3 TRADING GROUP, LLC
March 2, 2007 - June 11, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
February 16, 2007 - June 11, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
November 29, 2006 - February 23, 2007
E*TRADE SECURITIES LLC
April 16, 2004 - September 8, 2006
MERRIMAC CORPORATE SECURITIES, INC.
June 6, 2003 - April 26, 2004
SYNERGY INVESTMENT GROUP, LLC
January 14, 2003 - May 1, 2003
NATIONAL PLANNING CORPORATION
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.
