Kevin A. Horn
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.
Kevin Andrew Horn was a registered financial professional .
Kevin is a previously registered financial professional and started their career in finance in 2005. Kevin had worked at 9 firms and has passed the Series 66, 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 22, 2016 - July 19, 2019
T3 TRADING GROUP, LLC
October 1, 2012 - March 4, 2014
J.P. MORGAN SECURITIES LLC
October 1, 2012 - March 4, 2014
J.P. MORGAN SECURITIES LLC
May 2, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
March 13, 2008 - May 2, 2009
WAMU INVESTMENTS, INC.
March 6, 2008 - May 2, 2009
WAMU INVESTMENTS, INC.
June 19, 2007 - February 1, 2008
G-2 TRADING,LLC
January 24, 2007 - April 11, 2007
ECHOTRADE LLC
September 5, 2006 - January 4, 2007
NEW ENGLAND SECURITIES
February 15, 2005 - August 31, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
January 28, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
January 28, 2005 - August 31, 2006
AMERIPRISE FINANCIAL SERVICES, 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
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.
