Robert S. Gunther
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.
Robert Steven Gunther was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1978. Robert had worked at 18 firms and has passed the Series 63, Series 55, PC 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
January 9, 2012 - September 9, 2013
T3 TRADING GROUP, LLC
November 2, 2011 - December 21, 2011
DIMENSION TRADING GROUP, LLC
July 28, 2011 - October 25, 2011
KENNETH, JEROME & CO.,INC.
April 11, 2011 - June 30, 2011
OLYMPUS SECURITIES, LLC
March 21, 2003 - March 31, 2011
GRAND CAPITAL CORP.
April 12, 2000 - April 30, 2001
SCHONFELD SECURITIES, LLC
May 10, 1999 - April 13, 2000
ON-SITE TRADING, INC.
May 8, 1998 - March 2, 1999
DIRKS & COMPANY, INC.
March 24, 1997 - March 4, 1998
FAB SECURITIES OF AMERICA, INC.
January 5, 1994 - February 14, 1995
MANOR SECURITIES CORPORATION
August 6, 1991 - November 18, 1993
BISHOP, ROSEN & CO., INC.
August 2, 1990 - June 28, 1991
GLEACHER & COMPANY SECURITIES, INC.
June 16, 1988 - August 15, 1990
FINANCIAL SQUARE PARTNERS
April 18, 1988 - June 16, 1988
CIBC WORLD MARKETS CORP.
June 1, 1982 - April 27, 1988
L. F. ROTHSCHILD & CO. INCORPORATED
November 2, 1979 - June 10, 1982
LEHMAN BROTHERS INC.
April 10, 1979 - November 29, 1979
PRUDENTIAL EQUITY GROUP, LLC
July 18, 1978 - March 4, 1981
NEUBERGER SECURITIES CORP.
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 55
Date: 7/14/1999
Limited Representative-Equity Trader ExamPC
Date: 6/11/1980
AMEX Put and Call 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.
