Jemmyly Leroy
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.
Jemmyly Leroy, who also goes by James Leroy, was a registered financial professional .
Jemmyly is a previously registered financial professional and started their career in finance in 2007. Jemmyly had worked at 6 firms and has passed the Series 63, 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
October 21, 2019 - April 2, 2020
T3 TRADING GROUP, LLC
August 6, 2015 - October 18, 2019
T3 TRADING GROUP, LLC
March 26, 2013 - January 10, 2014
T3 TRADING GROUP, LLC
October 4, 2011 - July 5, 2012
PHD CAPITAL
August 8, 2011 - September 12, 2011
NATIONAL SECURITIES CORPORATION
May 5, 2011 - July 20, 2011
COASTAL TRADE SECURITIES, LLC
July 22, 2008 - September 1, 2009
FIS BROKERAGE & SECURITIES SERVICES LLC
June 2, 2008 - July 23, 2008
GUNNALLEN FINANCIAL, INC
September 18, 2007 - February 29, 2008
PHD CAPITAL
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.
