Benjamin Robert Bates
Professional Summary
Benjamin Robert Bates, who also goes by Benjamin Robert Bates, Benjamin Bates, is a registered financial advisor currently at T3 TRADING GROUP, LLC located in New York, New York. Benjamin Robert is registered as a RR (Registered Representative) and started their career in finance in 2007. Benjamin Robert has worked at 8 firms and has passed the Series 63, SIE, Series 57, Series 7 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Benjamin Robert Bates, Benjamin Bates
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
19 years in the financial services industry
Current & Past Employments
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Current Firm
T3 TRADING GROUP, LLC | TITUS SECURITIES, LLC
Contact Information
Main Address
88 Pine Street 23rd Floor, New York, NY 10005Mailing Address
88 Pine Street 23rd Floor, New York, NY 10005Phone Number
(646) 346-1700Established
Delaware since 06/08/2010Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| T3 COMPANIES, LLC | MEMBER/OWNER | — |
| LI, XIAOYAN | PRINCIPAL OPERATIONS OFFICER | 4465893 |
| LI, XIAOYAN | PRINCIPAL FINANCIAL OFFICER | 4465893 |
| LI, XIAOYAN | FINOP | 4465893 |
| MARQUIS, GARRET CHRISTIAN | CHIEF EXECUTIVE OFFICER | 3198686 |
| PIKOWSKI, STEVEN | CHIEF COMPLIANCE OFFICER | 1562340 |
| REDLER, SCOTT JASON JR | CHIEF STRATEGIC OFFICER | 2680492 |
Disclosures
Regulatory Event
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Benjamin Robert Bates's CRS (Customer Relationship Summary).
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