David E. Van Houten
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.
David Edwin Van Houten JR., who also goes by David E Vanhouten Jr, David Edwin Vanhouten Jr, David Edwin Vanhouten, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1995. David had worked at 7 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 9 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
September 30, 2016 - August 4, 2017
E*TRADE SECURITIES LLC
January 9, 2014 - September 30, 2016
E*TRADE CLEARING LLC
June 15, 2012 - July 31, 2012
APEX CLEARING CORPORATION
July 2, 2010 - July 31, 2012
PENSON FINANCIAL SERVICES, INC.
December 19, 2007 - July 1, 2010
APEX CLEARING CORPORATION
May 31, 2005 - December 21, 2005
APEX CLEARING CORPORATION
December 7, 2004 - June 17, 2005
TD AMERITRADE, INC.
March 23, 1998 - December 7, 2004
NATIONAL INVESTOR SERVICES CORP.
April 13, 1995 - September 10, 1996
PERSHING 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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