Xiaoyan Li
Professional summary
Xiaoyan Li, who also goes by Maria Li, is a registered financial professional currently at T3 TRADING GROUP, LLC located in Millburn, New Jersey.
Xiaoyan is registered as a RR (Registered Representative) and started their career in finance in 2002. Xiaoyan has worked at 54 firms and has passed the Series 99TO, Series 57TO, SIE, Series 7, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Xiaoyan Li's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 20, 2015 - Present
T3 TRADING GROUP, LLC
Office #1: 348 Millburn Avenue, Millburn, NJ 07041September 30, 2015 - May 28, 2021
OPEN TO THE PUBLIC INVESTING, INC.
April 8, 2014 - May 8, 2015
CLEARPOOL EXECUTION SERVICES, LLC
November 22, 2012 - February 2, 2015
WTS PROPRIETARY TRADING GROUP LLC
November 21, 2012 - May 8, 2015
WORLD-XECUTION STRATEGIES
January 19, 2012 - March 28, 2012
DIMENSION TRADING GROUP, LLC
December 20, 2011 - September 17, 2012
UNITED FIRST PARTNERS LLC
October 1, 2010 - November 9, 2012
BERINGER FINANCE US INC.
June 16, 2010 - March 4, 2011
GROUPARGENT SECURITIES, LLC
April 22, 2010 - May 25, 2010
SUNRISE BROKERS LLC
June 19, 2009 - March 18, 2010
CAPSTONE GLOBAL MARKETS, LLC
February 23, 2009 - November 9, 2012
MIRAE ASSET WEALTH MANAGEMENT (USA) INC.
January 12, 2009 - February 3, 2009
MG SECURITIES LLC
January 8, 2009 - January 10, 2012
DIMENSION TRADING GROUP, LLC
November 21, 2008 - February 12, 2009
WALLACHBETH CAPITAL LLC
February 26, 2008 - January 4, 2010
HEDGE FUND CAPITAL PARTNERS, LLC
August 10, 2007 - November 7, 2012
CANACCORD GENUITY SECURITIES LLC
July 18, 2007 - November 13, 2012
MEDIOBANCA SECURITIES USA LLC
July 10, 2007 - November 9, 2012
MACALLASTER PITFIELD MACKAY INC.
June 19, 2007 - October 11, 2007
GLOBEOP MARKETS LIMITED
June 4, 2007 - November 9, 2012
US TIGER SECURITIES, INC.
February 28, 2007 - March 10, 2010
VALORES FINAMEX INTERNATIONAL, INC.
February 26, 2007 - March 11, 2008
WEISS MULTI-STRATEGY FUNDS LLC
February 15, 2007 - November 9, 2012
DAVIS SECURITIES LLC
January 9, 2007 - April 21, 2008
ALARIS TRADING PARTNERS, LLC
October 20, 2006 - April 9, 2008
UNIBANCO SECURITIES INC.
October 6, 2006 - November 9, 2012
MADISON MARQUETTE SECURITIES LLC
October 5, 2006 - July 3, 2012
KBR CAPITAL MARKETS, LLC
October 3, 2006 - May 29, 2012
DIMENSION SECURITIES, LLC
September 27, 2006 - August 10, 2007
COLLINS STEWART INC.
September 27, 2006 - November 1, 2007
WHITEMARSH CAPITAL ADVISORS
September 27, 2006 - December 19, 2007
SG REAL ESTATE SECURITIES LLC
September 27, 2006 - May 2, 2008
HRH SECURITIES, LLC
September 27, 2006 - November 17, 2008
AIA CAPITAL MARKETS LLC
September 27, 2006 - December 31, 2008
EDEN FINANCIAL (USA) LIMITED
September 27, 2006 - April 14, 2009
GROUPARGENT SECURITIES, LLC
September 27, 2006 - April 29, 2010
ALTEA CAPITAL, LLC
September 27, 2006 - November 9, 2012
PROMETHEAN CAPITAL GROUP LLC
September 27, 2006 - November 9, 2012
PANAMERICAN CAPITAL SECURITIES LLC
September 27, 2006 - November 9, 2012
G.F. INVESTMENT SERVICES, LLC
September 27, 2006 - November 9, 2012
CADMAN SECURITIES, LLC
November 4, 2004 - March 8, 2005
SEIDMAN PRIVATE SECURITIES LLC
July 28, 2004 - March 8, 2005
TRIBECA SECURITIES LLC
March 25, 2004 - August 9, 2004
THREE CROWNS CAPITAL (BERMUDA) LIMITED
March 18, 2004 - March 9, 2005
KBR CAPITAL MARKETS, LLC
February 2, 2004 - May 3, 2004
MAX CAPITAL SECURITIES LLC
January 12, 2004 - March 9, 2005
METCAP SECURITIES, LLC
October 2, 2003 - November 22, 2004
GERBER, KELLY & CO. L.L.C.
August 1, 2003 - March 17, 2004
VERICAP ADVISORS (US), LLC
July 9, 2003 - March 9, 2005
GALLAGHER SECURITIES, INC
June 25, 2003 - March 9, 2005
ICE BONDS SECURITIES CORPORATION
June 16, 2003 - March 9, 2005
HUDSON HOUSING SECURITIES LLC
April 14, 2003 - March 9, 2005
PROVIDENCE CAPITAL, INC.
March 5, 2003 - March 9, 2005
BENFIELD ADVISORY INC.
October 16, 2002 - May 3, 2004
ALLEN GLOBAL SECURITIES LLC
April 22, 2002 - March 9, 2005
CREDITEX GROUP, INC.
March 18, 2002 - March 9, 2005
ARAPAHO PARTNERS, 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
(1/13/2020)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamFINRA
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.
