Teresa C. Elkins
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.
Teresa Celine Elkins, who also goes by Tess Elkins, Teresa Quesada, Tess Quesada, was a registered financial professional .
Teresa is a previously registered financial professional and started their career in finance in 1988. Teresa had worked at 10 firms and has passed the Series 63, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2011 - January 18, 2012
E*TRADE SECURITIES LLC
August 22, 2006 - May 13, 2009
UBS FINANCIAL SERVICES INC.
December 8, 2004 - August 3, 2006
METROPOLITAN LIFE INSURANCE COMPANY
December 8, 2004 - August 3, 2006
MSI FINANCIAL SERVICES, INC.
December 18, 2002 - July 9, 2003
CITISTREET EQUITIES LLC
September 3, 2002 - January 3, 2003
PFS INVESTMENTS INC.
May 22, 2000 - February 14, 2001
UBS FINANCIAL SERVICES INC.
January 1, 1999 - April 18, 2000
HARRISDIRECT LLC
January 10, 1992 - December 14, 1998
CHARLES SCHWAB & CO., INC.
September 8, 1989 - January 3, 1991
MORGAN STANLEY DW INC.
September 20, 1988 - April 21, 1989
J. W. GANT & ASSOCIATES, 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 8
Date: 2/7/1994
General Securities Sales Supervisor Examination (Options Module & General Module)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.
