Jack A. Schusterman
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.
Jack A Schusterman, who also goes by Jack Schusterman, was a registered financial professional .
Jack is a previously registered financial professional and started their career in finance in 1994. Jack had worked at 11 firms and has passed the Series 65, Series 63, SIE 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
May 4, 2016 - June 3, 2016
SCOTTRADE, INC.
October 8, 2010 - April 7, 2016
TD AMERITRADE, INC.
October 8, 2010 - April 7, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
October 8, 2010 - April 7, 2016
TD AMERITRADE, INC.
May 12, 2005 - August 10, 2010
STRATEGIC ADVISERS LLC
May 12, 2005 - August 9, 2010
FIDELITY BROKERAGE SERVICES LLC
May 14, 2004 - April 19, 2005
BANC ONE SECURITIES CORPORATION
May 14, 2004 - April 19, 2005
BANC ONE SECURITIES CORPORATION
March 7, 2003 - May 12, 2004
RYAN BECK & CO.
April 29, 2002 - May 12, 2004
RYAN BECK & CO.
March 15, 1999 - May 13, 2002
GRUNTAL & CO., L.L.C.
January 15, 1996 - March 22, 1999
CITIGROUP GLOBAL MARKETS INC.
November 2, 1995 - January 26, 1996
J.P. MORGAN SECURITIES LLC
July 26, 1994 - November 3, 1995
CITIGROUP GLOBAL MARKETS INC.
March 28, 1994 - March 16, 1995
WELLS FARGO ADVISORS FINANCIAL NETWORK, 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
SCOTTRADE, INC.
CRD#: 8206 / SEC#: , 8-24760
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TD AMERITRADE ONLINE HOLDINGS CORP. | OWNER | |
| BOUDROT, SUSAN M | CHIEF COMPLIANCE OFFICER | 2472538 |
| BOYLE, STEPHEN JOHN | CHIEF FINANCIAL OFFICER | 6501238 |
| DESILVA, PETER JAMES | PRESIDENT, DIRECTOR | 1740057 |
| KIMM, DAVID ROBERT | CHIEF RISK OFFICER | 722941 |
| NALLY, THOMAS ANDREW | EVP, INSTITUTIONAL SERVICES | 2479301 |
| QUIRK, STEVEN MARK | SVP, TRADER GROUP | 2728768 |
| RICKETTS, JUDITH K | VP, MD OPERATIONS | 2758924 |
| YATES, WILLIAM THOMAS | TREASURER, FINOP | 2749545 |
Disclosures
| Regulatory Event | 51 |
| Arbitration | 33 |
| Bond | 1 |
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.
