Francis J. Ryan
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.
Francis Joseph Ryan JR, who also goes by Francis Joseph Ryan, Frank Ryan, was a registered financial professional .
Francis is a previously registered financial professional and started their career in finance in 1996. Francis had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 6, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 23, 2015 - March 30, 2018
E*TRADE SECURITIES LLC
July 17, 2008 - March 14, 2014
E*TRADE SECURITIES LLC
July 1, 2008 - June 24, 2015
E*TRADE CLEARING LLC
March 21, 2006 - July 1, 2008
E*TRADE SECURITIES LLC
January 11, 2005 - March 14, 2006
TD AMERITRADE, INC.
January 11, 2005 - March 14, 2006
TD AMERITRADE, INC.
September 23, 1999 - January 7, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 23, 1999 - January 7, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 25, 1999 - June 8, 1999
PRUCO SECURITIES, LLC.
June 28, 1996 - November 4, 1998
PRUCO SECURITIES, LLC.
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
Current 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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