Theodore E De Giacomo

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars
PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2023-11-14
CT	RA	APPROVED	2023-09-01

Branch Locations

No disclosure categories reported as “Yes” on this SEC record.

Organization	City	State	From	To
T3 Trading Group, Llc	New York	NY	11/2014	01/2019
T3 Securities, Inc	New York	NY	02/2016	02/2020
T3 Trading Group, Llc	New York	NY	11/2019	09/2023
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Southbury	CT	09/2023	Present
Bank Of America, N.A.	Southbury	CT	09/2023	Present

11/2014 → 01/2019

T3 Trading Group, Llc

New York, NY
02/2016 → 02/2020

T3 Securities, Inc

New York, NY
11/2019 → 09/2023

T3 Trading Group, Llc

New York, NY
09/2023 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Southbury, CT
09/2023 → Present

Bank Of America, N.A.

Southbury, CT

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-07-17
S63	Uniform Securities Agent State Law Examination	1999-05-27

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