Donald F. Mazzone
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.
Donald F Mazzone, who also goes by Donald Frederick Mazzone Jr, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 2000. Donald had worked at 3 firms and has passed the Series 63, Series 7TO, SIE, Series 3, Series 55 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2022 - May 18, 2022
E*TRADE SECURITIES LLC
April 3, 2002 - June 18, 2002
SKEFFINGTON SECURITIES, L.L.C.
September 22, 2000 - March 14, 2002
PURE TRADING INC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 3/28/2022
General Securities Representative ExaminationSeries 55
Date: 9/25/2000
Limited Representative-Equity Trader ExamSeries 62
Date: 9/21/2000
Corporate Securities Limited Representative ExaminationCurrent 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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