Rajeshri Vora
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.
Rajeshri Vora, who also goes by Raj Vora, was a registered financial professional .
Rajeshri is a previously registered financial professional and started their career in finance in 1992. Rajeshri had worked at 10 firms and has passed the Series 66, Series 63 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
January 23, 2012 - November 28, 2012
E*TRADE SECURITIES LLC
June 8, 2010 - August 4, 2011
PERSHING LLC
August 13, 2008 - December 4, 2008
BLACKROCK INVESTMENTS, LLC
September 23, 2004 - July 15, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 15, 2004 - July 15, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 25, 2000 - February 10, 2000
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
January 10, 2000 - January 28, 2000
JPMSI
September 16, 1997 - August 24, 1998
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
December 24, 1996 - March 20, 1997
FIDELITY DISTRIBUTORS COMPANY LLC
January 6, 1995 - November 6, 1996
AMUNDI DISTRIBUTOR US, INC.
January 21, 1994 - June 14, 1994
CHARLES SCHWAB & CO., INC.
October 23, 1992 - August 26, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
