Lori Barland
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.
Lori Barland, who also goes by Lori Hildebrand, was a registered financial professional .
Lori is a previously registered financial professional and started their career in finance in 1999. Lori had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2015 - April 7, 2016
E*TRADE SECURITIES LLC
September 16, 2011 - August 22, 2012
WELLS FARGO CLEARING SERVICES, LLC
June 1, 2009 - October 8, 2009
MORGAN STANLEY
November 16, 2006 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
October 25, 2006 - November 14, 2006
FIDELITY DISTRIBUTORS COMPANY LLC
November 13, 2002 - April 13, 2006
WAMU INVESTMENTS, INC.
May 23, 2001 - October 1, 2002
EDWARD JONES
July 6, 2000 - May 22, 2001
HARRISDIRECT LLC
July 28, 1999 - May 24, 2000
MORGAN STANLEY DEAN WITTER ONLINE 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
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.
