James A. Lee
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.
James Arthur Lee was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1977. James had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 13, 2013 - August 17, 2016
T3 TRADING GROUP, LLC
October 25, 2011 - September 6, 2013
ECHOTRADE LLC
January 8, 2008 - October 21, 2011
ECHOTRADE LLC
February 21, 2006 - December 18, 2007
MAXIM GROUP LLC
December 5, 2001 - January 23, 2006
CATHAY FINANCIAL INC
August 20, 2001 - November 26, 2001
SIDOTI & COMPANY, LLC
August 20, 1984 - July 25, 2001
PRUDENTIAL EQUITY GROUP, LLC
October 2, 1979 - September 7, 1984
KIDDER, PEABODY & CO. INCORPORATED
March 21, 1978 - July 28, 1979
PERSHING LLC
December 5, 1977 - March 21, 1978
BECKER SECURITIES INCORPORATED
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 8
Date: 8/30/1994
General Securities Sales Supervisor Examination (Options Module & General Module)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.
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