Aleathia D. Chisolm
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.
Aleathia D Chisolm, who also goes by Aleathia Devonne Chisolm, was a registered financial professional .
Aleathia is a previously registered financial professional and started their career in finance in 1989. Aleathia had worked at 9 firms and has passed the Series 63, Series 7TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2020 - December 10, 2021
E*TRADE SECURITIES LLC
September 13, 2018 - January 7, 2019
TD AMERITRADE, INC.
July 27, 2016 - July 28, 2017
VANGUARD MARKETING CORPORATION
July 27, 2001 - April 22, 2015
TRUIST SECURITIES, INC.
May 16, 1998 - July 27, 2001
THE ROBINSON-HUMPHREY COMPANY, LLC
May 7, 1992 - May 15, 1998
WACHOVIA SECURITIES, INC.
March 31, 1992 - July 21, 1992
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 21, 1991 - March 31, 1992
NATIONSBANC SECURITIES OF GEORGIA, INC.
July 2, 1990 - August 15, 1990
J. W. GANT & ASSOCIATES, INC.
July 10, 1989 - July 2, 1990
NATIONSBANC SECURITIES OF GEORGIA, 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 7TO
Date: 3/1/2024
General Securities Representative ExaminationSeries 55
Date: 7/29/1998
Limited Representative-Equity Trader ExamCurrent 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.
