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BR

Brooks B. Rule

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CRD#: 5742336
BR

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.

Brooks Boyd Rule was a registered financial professional .

Brooks is a previously registered financial professional and started their career in finance in 2009. Brooks had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 11, 2015 - May 29, 2015

T3 TRADING GROUP, LLC

BD
CRD#: 154431
NEW YORK, NY
Past

January 25, 2013 - March 11, 2015

BRIGHT TRADING, LLC

BD
CRD#: 34702
HENDERSON, NV
Past

October 25, 2011 - January 22, 2013

ECHOTRADE LLC

BD
CRD#: 42239
PHOENIX, AZ
Past

August 26, 2010 - October 21, 2011

ECHOTRADE LLC

BD
CRD#: 42239
PHOENIX, AZ
Past

December 11, 2009 - August 25, 2010

BRIGHT TRADING, LLC

BD
CRD#: 34702
HENDERSON, NV

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
RR
Series 63
Date: 5/31/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/11/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/23/2005
General Securities Representative Examination

Current Firm

TT
T3 TRADING GROUP, LLC
T3 TRADING GROUP, LLC | TITUS SECURITIES, LLC

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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
T3 COMPANIES, LLCMEMBER/OWNER
LI, XIAOYANPRINCIPAL FINANCIAL OFFICER4465893
LI, XIAOYANPRINCIPAL OPERATIONS OFFICER4465893
LI, XIAOYANFINOP4465893
MARQUIS, GARRET CHRISTIANCHEIF EXECUTIVE OFFICER3198686
PIKOWSKI, STEVENCHIEF COMPLIANCE OFFICER1562340
REDLER, SCOTT JASON JRCHIEF STRATEGIC OFFICER2680492

Disclosures

Regulatory Event3

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.

Company Information

T3 TRADING GROUP, LLC

CRD#: 154431

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