Todd C. Draney
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.
Todd C Draney was a registered financial professional .
Todd is a previously registered financial professional and started their career in finance in 1988. Todd had worked at 9 firms and has passed the Series 63, Series 65, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 2, 2013 - September 24, 2013
E*TRADE SECURITIES LLC
February 21, 2012 - June 27, 2012
FORESEE MANAGEMENT, LLC
May 5, 2008 - December 31, 2008
ROCK CANYON ADVISORY GROUP, INC.
October 22, 2004 - April 7, 2005
GIRARD SECURITIES, INC.
September 2, 2004 - December 31, 2010
LEHI PARTNERS, LLC
March 21, 2003 - June 22, 2004
GBS FINANCIAL CORP.
February 28, 2003 - November 19, 2004
GBS FINANCIAL CORP.
March 8, 2002 - March 7, 2003
CAMBRIDGE INVESTMENT RESEARCH, INC.
February 6, 2002 - March 7, 2003
CAMBRIDGE INVESTMENT RESEARCH, INC.
February 23, 1998 - February 2, 2000
UAM FUND DISTRIBUTORS, INC.
February 28, 1989 - March 29, 1995
FIDELITY BROKERAGE SERVICES LLC
February 12, 1988 - March 29, 1995
FIDELITY BROKERAGE SERVICES 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
