Matt A. Magbee
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.
Matt Allen Magbee was a registered financial professional .
Matt is a previously registered financial professional and started their career in finance in 1996. Matt had worked at 6 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7, Series 6, Series 31 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 14, 2019 - January 9, 2020
E*TRADE SECURITIES LLC
February 8, 2013 - March 9, 2016
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
February 19, 2007 - July 3, 2012
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
February 23, 2001 - April 30, 2002
COREBRIDGE CAPITAL SERVICES, INC.
March 29, 1999 - May 23, 2000
CHARLES SCHWAB & CO., INC.
July 30, 1998 - December 11, 1998
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 27, 1997 - May 13, 1998
MORGAN STANLEY DW INC.
September 24, 1996 - September 19, 1997
CHARLES SCHWAB & CO., 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: 3/14/2019
General Securities Representative ExaminationSeries 8
Date: 8/13/1999
General Securities Sales Supervisor Examination (Options Module & General Module)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
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