AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JW

Joanna C. Waschek

T3 TRADING GROUP
New York, NY 10005
Some features on this profile are disabled
CRD#: 5284184
JW

Professional summary

Joanna Christina Waschek, who also goes by Joanna C Waschek, is a registered financial professional currently at T3 TRADING GROUP, LLC located in New York, New York.

Joanna is registered as a RR (Registered Representative) and started their career in finance in 2015. Joanna has worked at 1 firm and has passed the Series 65, Series 57TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Joanna C Waschek

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 Joanna Christina Waschek'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

August 22, 2023 - Present

T3 TRADING GROUP, LLC

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

July 18, 2015 - February 4, 2016

T3 TRADING GROUP, LLC

BD
CRD#: 154431
NEW YORK, NY

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
IAR
Series 65
Date: 9/30/2016
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 57TO
Date: 8/22/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 7/20/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/16/2015
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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

TRUST BUT VERIFY

Monitor Joanna Waschek

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Peter Faulkner Kettle
Peter KettleAdvisorCheck Check Mark
AMERIPRISE FINANCIAL SERVICES, LLC
IAR
RR
Brooklyn, NY
Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Diane E Finnerty
Diane FinnertyAdvisorCheck Check Mark
MORGAN STANLEY
IAR
RR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.