Christopher Ghiorsi
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.
Christopher Ghiorsi, who also goes by Christopher William Ghiorsi, was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1995. Christopher had worked at 8 firms and has passed the Series 99TO, SIE, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 19, 2023 - February 13, 2024
E*TRADE SECURITIES LLC
July 19, 2023 - October 14, 2025
MORGAN STANLEY & CO. LLC
August 30, 2018 - October 14, 2025
MORGAN STANLEY
September 5, 2014 - December 1, 2017
MORGAN STANLEY
September 5, 2014 - July 19, 2018
PRIME DEALER SERVICES CORP.
January 14, 2011 - October 5, 2011
MORGAN STANLEY DISTRIBUTORS INC.
January 14, 2011 - December 1, 2017
MORGAN STANLEY DISTRIBUTION, INC.
November 24, 2009 - December 1, 2017
MORGAN STANLEY & CO. LLC
June 1, 2009 - December 2, 2009
MORGAN STANLEY
February 12, 2008 - October 30, 2008
MORGAN STANLEY MARKET PRODUCTS INC.
April 2, 2007 - June 1, 2009
MORGAN STANLEY & CO. LLC
April 10, 1995 - April 2, 2007
MORGAN STANLEY DW INC.
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
E*TRADE SECURITIES LLC
CRD#: 29106 / SEC#: , 8-44112
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ETCM HOLDINGS, LLC | OWNER | |
| ADRIEN, JACQUES C | CHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS OFFICER/PRINCIPAL FINANCIAL OFFICER | 2996942 |
| FINN, JED | MANAGER | 5658048 |
| GREANEY, BRIAN JOSEPH | CHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER | 3274607 |
| GREGO, JENNIFER A | CHIEF COMPLIANCE OFFICER | 4928947 |
| HENNESSY, MICHAEL S | MANAGER | 1988660 |
| JANOVER, JAMES T | MANAGER | 2818307 |
| TURNER, CHAD EDWARD | PRESIDENT AND CHIEF EXECUTIVE OFFICER,MANAGER | 6009808 |
Disclosures
| Regulatory Event | 93 |
| Arbitration | 139 |
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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