Brian J. Lambert
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.
Brian J Lambert, who also goes by Brian John Lambert, Brian Lambert, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1981. Brian had worked at 18 firms and has passed the Series 66, Series 63, Series 7TO, 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 30, 2019 - May 4, 2021
T3 TRADING GROUP, LLC
April 24, 2017 - March 7, 2019
EDWARD JONES
April 24, 2017 - March 7, 2019
EDWARD JONES
June 30, 2016 - April 5, 2017
MORGAN STANLEY
June 30, 2016 - April 5, 2017
MORGAN STANLEY
October 23, 2015 - January 29, 2016
SCOTTRADE, INC.
July 27, 2015 - October 30, 2015
DISCERN SECURITIES, INC.
August 15, 2012 - October 7, 2013
M. R. BEAL & COMPANY
March 8, 2010 - October 4, 2012
JACKSON SECURITIES LLC
February 26, 2009 - February 11, 2010
MAGNA
June 20, 2006 - January 30, 2009
SCREAMING EAGLE TRADING, INC.
July 2, 2003 - February 6, 2006
OPPENHEIMER & CO. INC.
April 30, 2001 - May 30, 2003
SOUNDVIEW TECHNOLOGY CORPORATION
May 2, 2000 - May 4, 2001
LEHMAN BROTHERS INC.
September 1, 1998 - May 2, 2000
ROBERTSON STEPHENS, INC.
October 1, 1997 - September 1, 1998
BANCAMERICA SECURITIES, INC.
July 20, 1993 - October 1, 1997
ROBERTSON, STEPHENS & COMPANY LLC
September 2, 1986 - August 29, 1991
WEEDEN & CO.L.P.
September 6, 1983 - January 15, 1985
KENNEY & BRANISEL MUNICIPALS, INC.
February 23, 1981 - July 15, 1983
PRESCOTT, BALL & TURBEN, 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
Series 7TO
Date: 6/30/2023
General Securities Representative ExaminationSeries 57TO
Date: 6/30/2023
Securities Trader ExamSeries 55
Date: 9/11/2006
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.
Check for any disclosures as part of your thorough research when choosing an advisor.
