Charles B. Morgan
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.
Charles Bedford Morgan JR, who also goes by Charles Bedford Morgan, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1980. Charles had worked at 10 firms and has passed the Series 63, Series 57TO, SIE, Series 55 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
October 21, 2019 - June 20, 2023
T3 TRADING GROUP, LLC
August 18, 2014 - October 18, 2019
T3 TRADING GROUP, LLC
May 14, 2013 - June 30, 2014
G-2 TRADING,LLC
December 1, 2004 - March 13, 2009
SCHONFELD SECURITIES, LLC
November 8, 2004 - November 29, 2004
SCHONFELD SECURITIES, LLC
June 30, 2004 - November 1, 2004
TRINIX SECURITIES LLC
August 29, 2003 - February 6, 2004
ELECTRONIC TRADING GROUP, LLC
September 26, 1994 - September 7, 2001
WEEDEN & CO.L.P.
June 18, 1991 - July 10, 1991
SBC WARBURG DILLON READ INC.
February 10, 1988 - June 24, 1991
WEEDEN & CO.L.P.
December 3, 1986 - April 7, 1988
E. F. HUTTON & COMPANY INC
January 11, 1984 - May 22, 1984
SWERGOLD, CHEFITZ & INCORPORATED
September 25, 1980 - August 29, 1983
PRUDENTIAL EQUITY GROUP, LLC
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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/14/1999
Limited Representative-Equity Trader ExamCurrent 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.
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