Steven L. Christie
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.
Steven L Christie, who also goes by Steven Luke Christie, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 2002. Steven had worked at 7 firms and has passed the 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
February 5, 2021 - May 17, 2022
T3 TRADING GROUP, LLC
May 14, 2010 - February 8, 2011
J.P. MORGAN SECURITIES LLC
October 1, 2008 - March 4, 2009
J.P. MORGAN SECURITIES LLC
February 9, 2007 - October 1, 2008
J.P. MORGAN SECURITIES INC.
September 30, 2005 - February 7, 2006
NATIONAL SECURITIES CORPORATION
April 15, 2003 - September 3, 2003
CONTINENTAL BROKER-DEALER CORP.
January 8, 2003 - February 27, 2003
TRIDENT PARTNERS LTD.
October 2, 2002 - November 21, 2002
LADENBURG CAPITAL MANAGEMENT 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: 2/5/2021
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.
