Benjamin Robert Bates

T3 TRADING GROUP

New York, NY 10005

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CRD#: 5399975

Professional summary

Benjamin Robert Bates, who also goes by Benjamin Robert Bates, Benjamin Bates, is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?

Aliases

Benjamin Robert Bates | Benjamin Bates

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 Benjamin Robert Bates'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

March 11, 2021 - Present

T3 TRADING GROUP, LLC

Office #1: 88 Pine Street 23rd Floor, New York, NY 10005

CRD#: 154431

New York, NY

Past

February 13, 2018 - December 15, 2020

AVATAR SECURITIES, LLC

CRD#: 147763

NEW YORK, NY

Past

August 1, 2017 - January 2, 2018

GREAT POINT CAPITAL LLC

CRD#: 114203

CHICAGO, IL

Past

July 28, 2014 - May 12, 2015

AKUNA SECURITIES LLC

CRD#: 159041

CHICAGO, IL

Past

November 15, 2013 - July 7, 2014

GREYCLIFF, LLC

CRD#: 146974

CHICAGO, IL

Past

February 5, 2013 - April 3, 2013

GELBER SECURITIES, LLC

CRD#: 18367

CHICAGO, IL

Past

July 7, 2010 - June 25, 2012

CITADEL SECURITIES LLC

CRD#: 116797

CHICAGO, IL

Past

August 20, 2007 - February 25, 2008

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

CHARLOTTE, NC

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

Series 63

Date: 10/31/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 57

Date: 8/1/2017

Securities Trader Exam

General Industry/Product Exam

Series 7

Date: 7/6/2010

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/30/2013

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

T3 TRADING GROUP, LLC

T3 TRADING GROUP, LLC | TITUS SECURITIES, LLC

CRD#: 154431 / SEC#: , 8-68639

Broker-Dealer Firm Regulated by FINRA (New York district office)

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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)

Documents

Customer Relationship Summary (CRS / FINRA)

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

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Benjamin Robert Bates

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Benjamin Robert Bates's CRS (Customer Relationship Summary).

Certified licenses

Experience

AVATAR SECURITIES, LLC

GREAT POINT CAPITAL LLC

AKUNA SECURITIES LLC

GREYCLIFF, LLC

GELBER SECURITIES, LLC

CITADEL SECURITIES LLC

BANC OF AMERICA SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/31/2007

SIE

Date: 10/1/2018

Series 57

Date: 8/1/2017

Series 7

Date: 7/6/2010

Series 24

Date: 12/30/2013

FINRA

Current Firm

T3 TRADING GROUP, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

T3 TRADING GROUP, LLC

TRUST BUT VERIFY

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