Ian P. Carey
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.
Ian Patrick Carey, who also goes by Ian P Carey, Ian Carey, was a registered financial professional .
Ian is a previously registered financial professional and started their career in finance in 2007. Ian had worked at 6 firms and has passed the Series 63, Series 65, SIE, Series 7 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
October 27, 2014 - June 8, 2015
T3 TRADING GROUP, LLC
August 28, 2013 - October 22, 2014
J.P. MORGAN SECURITIES LLC
July 22, 2013 - October 22, 2014
J.P. MORGAN SECURITIES LLC
March 18, 2013 - July 16, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 18, 2013 - July 16, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 25, 2011 - December 7, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 25, 2011 - December 7, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 22, 2010 - November 30, 2011
BROGAN GROUP INVESTMENT ADVISORS LLC
February 26, 2007 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
February 26, 2007 - March 26, 2010
MSI 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
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.
