David T. Munt
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 Thomas Munt was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1977. David had worked at 8 firms and has passed the Series 63, SIE, Series 000, Series 1, Series 4 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
June 23, 2015 - January 24, 2019
E*TRADE SECURITIES LLC
February 19, 2015 - June 24, 2015
E*TRADE CLEARING LLC
May 5, 2014 - January 2, 2015
NEW ENGLAND SECURITIES
May 5, 2014 - February 26, 2015
MSI FINANCIAL SERVICES, INC.
July 17, 2008 - March 6, 2013
E*TRADE SECURITIES LLC
July 9, 2008 - March 6, 2013
E*TRADE CLEARING LLC
June 15, 2005 - September 8, 2006
A B WONG CAPITAL LLC
April 27, 1983 - September 10, 2003
NATIXIS SECURITIES AMERICAS LLC
March 28, 1983 - May 2, 1983
DREXEL BURNHAM LAMBERT INCORPORATED
February 18, 1977 - March 28, 1983
L. F. ROTHSCHILD & CO. INCORPORATED
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 000
Date: 4/22/1974
General Securities Principal ExaminationSeries 1
Date: 4/22/1974
Registered 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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