David R. Greuel
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.
David Ralph Greuel, who also goes by David R Greuel, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1997. David had worked at 8 firms and has passed the Series 65, 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
March 30, 2011 - September 5, 2013
E*TRADE SECURITIES LLC
May 4, 2009 - August 17, 2010
ARGENTUS SECURITIES, LLC
September 18, 2008 - August 17, 2010
FORTITUDE ADVISORY GROUP L.L.C.
October 8, 2007 - May 22, 2008
ALLSTATE FINANCIAL SERVICES, LLC
November 22, 2005 - December 20, 2007
FORTITUDE ADVISORY GROUP L.L.C.
November 10, 2005 - July 2, 2007
ARGENTUS SECURITIES, LLC
May 13, 2005 - September 26, 2005
KELMOORE INVESTMENT COMPANY, INC.
April 10, 2002 - September 26, 2005
KELMOORE INVESTMENT COMPANY, INC.
January 4, 1999 - April 4, 2002
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 7, 1998 - January 4, 1999
ROBERT THOMAS SECURITIES, INC
May 22, 1997 - August 27, 1998
PRUDENTIAL EQUITY GROUP, 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
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.
