Frank Clemente
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.
Frank Clemente, who also goes by Frank Joseph Clemente, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 2009. Frank had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 57 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
July 9, 2018 - January 23, 2019
T3 TRADING GROUP, LLC
September 23, 2014 - October 22, 2014
EDWARD JONES
August 1, 2014 - October 22, 2014
EDWARD JONES
January 7, 2014 - August 4, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 15, 2012 - January 15, 2014
UBS FINANCIAL SERVICES INC.
June 21, 2010 - November 6, 2012
JOHN THOMAS FINANCIAL
November 17, 2009 - July 16, 2010
PRESTIGE FINANCIAL CENTER, INC.
October 15, 2009 - November 12, 2009
EKN FINANCIAL 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
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.
