Stephen J. Gerace
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.
Stephen Joseph Gerace, who also goes by Stephen J Gerace, Stephen Joseph Gerace, Stephen Gerace, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1986. Stephen had worked at 6 firms and has passed the Series 63, SIE, Series 57, Series 56, Series 7, Series 18 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
January 18, 2018 - September 17, 2018
T3 TRADING GROUP, LLC
November 7, 2014 - January 15, 2015
T3 TRADING GROUP, LLC
June 16, 2014 - November 7, 2014
WTS PROPRIETARY TRADING GROUP LLC
January 22, 2007 - January 9, 2008
TAFFERER TRADING, LLC
April 18, 1994 - October 28, 1994
NF CLEARING, INC.
August 14, 1989 - November 12, 1993
FIRST OF PHILADELPHIA INVESTMENT GROUP, INC.
October 23, 1986 - June 28, 1989
NF CLEARING, INC.
June 30, 1986 - August 8, 1986
MAKEFIELD SECURITIES CORPORATION
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 56
Date: 6/16/2014
Proprietary Trader Qualification ExaminationSeries 18
Date: 6/21/1986
Securities Industry Rules and Regulations ExaminationCurrent 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.
