Thomas B. Atwater
Professional summary
Thomas Brake Atwater, who also goes by Thomas B Atwater, Tom B. Atwater, is a registered financial professional currently at T3 TRADING GROUP, LLC located in New York, New York.
Thomas is registered as a RR (Registered Representative) and started their career in finance in 2003. Thomas has worked at 6 firms and has passed the Series 66, Series 7TO, Series 57TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas Brake Atwater's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 8, 2025 - Present
T3 TRADING GROUP, LLC
Office #1: 88 Pine Street 23rd Floor, New York, NY 10005February 10, 2025 - May 6, 2025
WELLS FARGO CLEARING SERVICES, LLC
February 10, 2025 - May 6, 2025
WELLS FARGO CLEARING SERVICES, LLC
November 14, 2024 - December 24, 2024
LPL ENTERPRISE, LLC
November 14, 2024 - December 24, 2024
LPL ENTERPRISE, LLC
July 25, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
June 5, 2024 - November 14, 2024
PRUCO SECURITIES, LLC.
August 28, 2019 - February 1, 2022
CHIMERA SECURITIES, LLC
April 18, 2011 - November 4, 2011
CHIMERA SECURITIES, LLC
March 11, 2003 - September 9, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 17, 2003 - September 9, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 7TO
Date: 6/5/2024
General Securities Representative ExaminationSeries 57TO
Date: 8/28/2019
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.
