Brian C. Zoss
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.
Brian Carl Zoss was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 2001. Brian had worked at 6 firms and has passed the Series 63, SIE, Series 57, 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
October 22, 2019 - November 13, 2019
T3 TRADING GROUP, LLC
October 3, 2018 - October 18, 2019
T3 TRADING GROUP, LLC
February 19, 2016 - April 13, 2018
T3 TRADING GROUP, LLC
January 3, 2012 - March 27, 2013
WTS PROPRIETARY TRADING GROUP LLC
March 31, 2009 - March 8, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
August 5, 2008 - March 24, 2009
GELBER SECURITIES, LLC
April 27, 2005 - November 1, 2005
REFCO SECURITIES, LLC
January 6, 2004 - February 7, 2005
FIS BROKERAGE & SECURITIES SERVICES LLC
November 2, 2001 - November 11, 2003
ELECTRONIC TRADING GROUP, 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: 5/12/2009
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
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