Aaron K. Mcnaughton
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.
Aaron Keith Mcnaughton was a registered financial professional .
Aaron is a previously registered financial professional and started their career in finance in 2002. Aaron had worked at 5 firms and has passed the Series 63, SIE, Series 56 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
September 9, 2015 - March 30, 2016
T3 TRADING GROUP, LLC
June 24, 2008 - October 31, 2008
USA FINANCIAL SECURITIES LLC
December 20, 2005 - June 26, 2008
SIGNATURE FINANCIAL GROUP, INC.
November 26, 2002 - January 20, 2004
MAIN STREET SECURITIES, LLC
January 28, 2002 - October 24, 2002
SUNSET FINANCIAL SERVICES, 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 56
Date: 9/9/2015
Proprietary Trader Qualification ExaminationCurrent 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.
