Judy A. Aiello
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.
Judy Anne Aiello, who also goes by Judy A Aiello, Judy Aiello, Judy Anne Palmer, Judy Anne Robinson, Judy Robinson, was a registered financial professional .
Judy is a previously registered financial professional and started their career in finance in 1992. Judy had worked at 7 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2017 - January 14, 2020
E*TRADE SECURITIES LLC
April 2, 2008 - November 11, 2009
FIDELITY BROKERAGE SERVICES LLC
July 2, 2007 - January 7, 2008
CITIGROUP GLOBAL MARKETS INC.
January 1, 1999 - October 19, 1999
GPC SECURITIES, INC.
May 21, 1997 - January 1, 1999
INVESCO DISTRIBUTORS, INC.
June 1, 1993 - April 17, 1996
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
June 12, 1992 - June 1, 1993
TEMPLETON FUNDS DISTRIBUTOR, 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
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.
