Christopher Haas
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.
Christopher Haas, who also goes by Christopher Eben Haas, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 2006. Christopher had worked at 6 firms and has passed the Series 66, Series 63, Series 57TO, 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
October 15, 2020 - September 9, 2021
T3 TRADING GROUP, LLC
April 26, 2019 - June 19, 2020
T3 TRADING GROUP, LLC
March 29, 2016 - January 3, 2018
ARETE WEALTH MANAGEMENT, LLC
April 30, 2015 - December 19, 2017
AXXCESS WEALTH MANAGEMENT, LLC
April 10, 2015 - November 23, 2015
ARETE WEALTH MANAGEMENT, LLC
August 12, 2014 - March 31, 2015
CALTON & ASSOCIATES, INC.
July 23, 2014 - March 31, 2015
CALTON & ASSOCIATES, INC.
June 7, 2007 - June 12, 2008
J.P. MORGAN SECURITIES LLC
October 4, 2006 - April 17, 2007
J.P. MORGAN 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: 7/22/2019
Securities Trader ExamCurrent 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.
