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T & K FUTURES AND OPTIONS NFA ID: 0349054 Current Status • NFA MEMBER APPROVED  • INTRODUCING BROKER REGISTERED  IB Guarantor Information • IB GUARANTEED BY GAIN CAPITAL GROUP LLC Firm Activity Status Firm has on-exchange futures and/or options customer accounts Yes Firm is soliciting customers Yes Firm manages futures or options customer accounts No Firm operates commodity pools No Firm is engaged in retail off-exchange foreign currency futures and/or options No Regulatory Actions  Agency Number NFA 0 CFTC 0 Exchanges 0 details...   NFA Arbitration Decisions  Role Number Claimant 0 Respondent 0 details...   CFTC Reparations Cases Total 0 details... Formerly Known As No other names   Business Address 2525 S.W. NATIONAL CIRCLE PORT ST. LUCIE, FL  34953 UNITED STATES (561) 339-2317 Doing Business As No other names Listed Principals  Listed Principal Name Title 10% or More Financial Interest MICHAEL KEVIN SMITH PRESIDENT YES History  Status Effective Date • FOREX FIRM WITHDRAWN 09/07/2012  • FOREX FIRM APPROVED 10/06/2010  • FOREX FIRM PENDING 10/04/2010  • NFA MEMBER APPROVED 11/19/2004  • INTRODUCING BROKER REGISTERED 11/19/2004  • NFA MEMBER PENDING 11/04/2004  • INTRODUCING BROKER PENDING 10/26/2004