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RM

Roger T. Mankus

Some features on this profile are disabled
CRD#: 1665945
RM

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.

Roger Todd Mankus was a registered financial professional .

Roger is a previously registered financial professional and started their career in finance in 1987. Roger had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 7, Series 30, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 5, 2012 - February 2, 2015

E*TRADE FUTURES LLC

BD
CRD#: 145562
BOLINGBROOK, IL
Past

June 18, 2012 - November 20, 2015

MLN INVESTMENTS LLC

RIA
CRD#: 163424
BOLINGBROOK, IL
Past

September 24, 2010 - February 24, 2012

OPTIONSXPRESS, INC.

BD
CRD#: 103849
CHICAGO, IL
Past

March 6, 2006 - September 4, 2012

BROKERSXPRESS LLC

RIA
CRD#: 127081
CHICAGO, IL
Past

October 7, 2004 - September 4, 2012

BROKERSXPRESS LLC

BD
CRD#: 127081
CHICAGO, IL
Past

March 29, 1995 - October 6, 2004

MF GLOBAL INC.

BD
CRD#: 6731
NEW YORK, NY
Past

January 28, 1994 - September 27, 1994

GRUNTAL & CO., L.L.C.

BD
CRD#: 372
NEW YORK, NY
Past

June 24, 1987 - January 20, 1990

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/30/2006
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/14/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 2/2/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 3/1/2000
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 1/27/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 30
Date: 8/2/2013
NFA Branch Manager Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/27/2005
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 9/13/2000
Registered Options Principal Examination

Current Firm

EF
E*TRADE FUTURES LLC
APERTURE, LLC | TRADE MONSTER | OPTIONSHOUSE | OM SECURITIES, LLC. | E*TRADE FUTURES LLC

CRD#: 145562 / SEC#: , 8-67735

BD
Terminated by SEC on 10/07/2017
PREMIUM
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Contact information

Main Address
Mailing Address
Phone number
Established
Illinois since 07/18/2007
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ETCM HOLDINGS, LLCPARENT CO./SOLE SHAREHOLDER
HERMANN, JAMES CLIFFORDCHIEF COMPLIANCE OFFICER1697681

Disclosures

Regulatory Event3

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.

Company Information

E*TRADE FUTURES LLC

CRD#: 145562

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