Mark Boothe
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.
Mark Boothe, who also goes by Mark Hastings Boothe, Mark Boothe, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1996. Mark had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 55 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
February 13, 2020 - July 9, 2020
E*TRADE SECURITIES LLC
November 15, 2017 - April 25, 2018
INTERACTIVE BROKERS CORP.
October 9, 2013 - November 14, 2017
SCOTTRADE, INC.
July 2, 2008 - October 18, 2013
TD AMERITRADE, INC.
June 30, 2008 - October 18, 2013
TD AMERITRADE, INC.
May 12, 2008 - October 18, 2013
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
May 6, 2004 - December 19, 2005
BANC OF AMERICA SECURITIES LLC
May 6, 2004 - December 4, 2007
BANC OF AMERICA SECURITIES LLC
November 24, 2003 - May 12, 2004
BANC ONE SECURITIES CORPORATION
November 24, 2003 - May 12, 2004
BANC ONE SECURITIES CORPORATION
July 10, 2002 - October 9, 2002
EQUITABLE ADVISORS, LLC
July 9, 2002 - October 9, 2002
EQUITABLE ADVISORS, LLC
December 22, 1998 - October 2, 2001
COASTAL SECURITIES, INC.
June 22, 1998 - December 21, 1998
LLOYD WADE SECURITIES INC.
February 28, 1997 - July 6, 1998
PACIFIC CORTEZ SECURITIES INCORPORATED
September 27, 1996 - February 26, 1997
LLOYD WADE SECURITIES 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 55
Date: 1/13/1999
Limited Representative-Equity Trader ExamCurrent 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.
