Seth Reese
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.
Seth Reese, who also goes by Seth Robert Reese, was a registered financial professional .
Seth is a previously registered financial professional and started their career in finance in 2001. Seth had worked at 6 firms and has passed the Series 63, SIE, Series 55 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
March 2, 2018 - November 26, 2018
T3 TRADING GROUP, LLC
August 31, 2017 - February 28, 2018
T3 TRADING GROUP, LLC
October 24, 2016 - June 27, 2017
T3 TRADING GROUP, LLC
July 16, 2015 - October 24, 2016
T3 TRADING GROUP, LLC
November 7, 2014 - January 2, 2015
T3 TRADING GROUP, LLC
August 8, 2012 - November 7, 2014
WTS PROPRIETARY TRADING GROUP LLC
April 18, 2012 - August 2, 2012
WTS PROPRIETARY TRADING GROUP LLC
April 28, 2011 - January 10, 2012
DIMENSION TRADING GROUP, LLC
January 10, 2005 - June 24, 2009
FIS BROKERAGE & SECURITIES SERVICES LLC
March 3, 2003 - October 14, 2003
FIS BROKERAGE & SECURITIES SERVICES LLC
February 26, 2003 - March 3, 2003
RUMSON CAPITAL, LLC
May 7, 2001 - January 3, 2003
LIGHTSPEED PROFESSIONAL TRADING 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
Series 55
Date: 6/1/2001
Limited Representative-Equity 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.
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