Eugene F. Battle
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.
Eugene Felipe Battle, who also goes by Eugene Felipe Battle Mr., Eugene Felipe Battle, was a registered financial professional .
Eugene is a previously registered financial professional and started their career in finance in 1999. Eugene had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 62 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
October 7, 2014 - September 30, 2016
E*TRADE CLEARING LLC
November 29, 2007 - April 17, 2019
HARRISDIRECT LLC
March 31, 2006 - April 17, 2019
E*TRADE SECURITIES LLC
October 20, 2004 - September 13, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 17, 2003 - October 20, 2004
QUICK & REILLY, INC.
April 2, 2002 - February 6, 2003
HSBC BROKERAGE (USA) INC.
November 10, 2000 - May 4, 2001
TD AMERITRADE, INC.
January 28, 2000 - September 27, 2000
MORGAN STANLEY DW INC.
December 7, 1999 - February 9, 2000
PRUDENTIAL EQUITY GROUP, LLC
July 29, 1999 - August 26, 1999
FIRST PROVIDENCE FINANCIAL GROUP, LLC
April 27, 1999 - July 20, 1999
BUCKMAN, BUCKMAN & REID, 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 62
Date: 4/26/1999
Corporate Securities Limited Representative ExaminationCurrent Firm
E*TRADE CLEARING LLC
CRD#: 25025 / SEC#: , 8-41354
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ETCM HOLDINGS, LLC | OWNER | |
| ENGEL, STEVEN JAY | MANAGER | 6474140 |
| INGGS, DAVID M | MANAGER | 4875173 |
| INGGS, DAVID M | CHIEF EXECUTIVE OFFICER | 4875173 |
| INGGS, DAVID M | PRESIDENT | 4875173 |
| MASTRIANNI, JOSEPH FRANCIS | CHIEF COMPLIANCE OFFICER | 1131254 |
| MURRAY, MATTHEW ANDREW | CHIEF OPERATIONS OFFICER | 4009310 |
| MURRAY, MATTHEW ANDREW | MANAGER | 4009310 |
| SHER, LORI SUE | SECRETARY | 5509677 |
| SIMONICH, BRENT BLAIN | FINOP | 3254859 |
| SIMONICH, BRENT BLAIN | MANAGER | 3254859 |
| SIMONICH, BRENT BLAIN | CHIEF FINANCIAL OFFICER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 1 |
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.
