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SH

Seth M. Harris

T3 TRADING GROUP
New York, NY 10005
Some features on this profile are disabled
CRD#: 4795635
SH

Professional summary

Seth Michael-james Harris, who also goes by Seth Michael-james Harris, is a registered financial professional currently at T3 TRADING GROUP, LLC located in New York, New York.

Seth is registered as a RR (Registered Representative) and started their career in finance in 2004. Seth has worked at 4 firms and has passed the Series 63, Series 57TO, SIE, Series 56, Series 55 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Seth Michael-James Harris

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Seth Michael-james Harris's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 23, 2026 - Present

T3 TRADING GROUP, LLC

Office #1: 88 Pine Street 23rd Floor, New York, NY 10005
BD
CRD#: 154431
New York, NY
Past

January 1, 2021 - October 28, 2021

T3 TRADING GROUP, LLC

BD
CRD#: 154431
NEW YORK, NY
Past

January 26, 2015 - June 7, 2016

T3 TRADING GROUP, LLC

BD
CRD#: 154431
NEW YORK, NY
Past

May 10, 2013 - July 29, 2013

WTS PROPRIETARY TRADING GROUP LLC

BD
CRD#: 148117
NEW YORK, NY
Past

December 3, 2012 - February 4, 2013

WTS PROPRIETARY TRADING GROUP LLC

BD
CRD#: 148117
NEW YORK, NY
Past

July 15, 2009 - July 28, 2009

FIS BROKERAGE & SECURITIES SERVICES LLC

BD
CRD#: 104162
NEW YORK, NY
Past

May 20, 2004 - November 29, 2007

GREAT POINT CAPITAL LLC

BD
CRD#: 114203
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/20/2004
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 1/23/2026
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 1/3/2026
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 56
Date: 1/21/2013
Proprietary Trader Qualification Examination
General Industry/Product Exam
RR
Series 55
Date: 6/21/2004
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 5/19/2004
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TT
T3 TRADING GROUP, LLC
T3 TRADING GROUP, LLC | TITUS SECURITIES, LLC

CRD#: 154431 / SEC#: , 8-68639

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
88 Pine Street 23rd Floor, New York, NY 10005
Mailing Address
88 Pine Street 23rd Floor, New York, NY 10005
Phone number
(646) 346-1700
Established
Delaware since 06/08/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
T3 COMPANIES, LLCMEMBER/OWNER
LI, XIAOYANPRINCIPAL FINANCIAL OFFICER4465893
LI, XIAOYANPRINCIPAL OPERATIONS OFFICER4465893
LI, XIAOYANFINOP4465893
MARQUIS, GARRET CHRISTIANCHEIF EXECUTIVE OFFICER3198686
PIKOWSKI, STEVENCHIEF COMPLIANCE OFFICER1562340
REDLER, SCOTT JASON JRCHIEF STRATEGIC OFFICER2680492

Disclosures

Regulatory Event3

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.

Company Information

T3 TRADING GROUP, LLC

CRD#: 154431New York, NY 10005

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