Nicholas B. Putnam
Professional summary
Nicholas B Putnam, who also goes by Nicholas B Putnam, Nick Putnam, Nicholas Putnam, is a registered financial professional currently at T3 TRADING GROUP, LLC located in New York, New York.
Nicholas is registered as a RR (Registered Representative) and started their career in finance in 2010. Nicholas has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Nicholas B Putnam's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 2, 2025 - Present
T3 TRADING GROUP, LLC
Office #1: 88 Pine Street 23rd Floor, New York, NY 10005September 2, 2022 - August 29, 2025
SPIRE WEALTH MANAGEMENT, LLC
September 1, 2022 - August 29, 2025
SPIRE SECURITIES, LLC
September 26, 2018 - September 6, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 25, 2018 - September 6, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 20, 2014 - September 27, 2018
WELLS FARGO CLEARING SERVICES, LLC
June 19, 2014 - September 27, 2018
WELLS FARGO CLEARING SERVICES, LLC
October 5, 2011 - June 25, 2014
MORGAN STANLEY
September 22, 2011 - June 25, 2014
MORGAN STANLEY
December 17, 2010 - September 27, 2011
MUTUAL OF OMAHA INVESTOR 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
FINRA
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
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