Lolita J. Nettles
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.
Lolita Joyce Nettles, who also goes by Lolita Joyce Mason, Lolita Nettles Mason, Lolita Joyce Young, was a registered financial professional .
Lolita is a previously registered financial professional and started their career in finance in 1999. Lolita had worked at 10 firms and has passed the Series 65, Series 63, SIE 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
October 9, 2015 - August 31, 2017
E*TRADE SECURITIES LLC
September 26, 2011 - September 21, 2015
BENJAMIN F. EDWARDS & COMPANY, INC.
September 16, 2011 - September 21, 2015
BENJAMIN F. EDWARDS & COMPANY, INC.
January 1, 2008 - September 19, 2011
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - September 19, 2011
WELLS FARGO CLEARING SERVICES, LLC
August 23, 2006 - January 1, 2008
A. G. EDWARDS & SONS, INC.
August 8, 2006 - January 3, 2008
A. G. EDWARDS & SONS, INC.
August 8, 2005 - August 7, 2006
TRUIST INVESTMENT SERVICES, INC.
August 3, 2005 - August 7, 2006
TRUIST INVESTMENT SERVICES, INC.
January 2, 2004 - July 22, 2004
USAA FINANCIAL ADVISORS, INC.
May 20, 2002 - July 26, 2004
USAA FINANCIAL PLANNING SERVICES
February 17, 2000 - December 31, 2003
USAA INVESTMENT SERVICES COMPANY
November 17, 1999 - February 4, 2000
IDS LIFE INSURANCE COMPANY
November 17, 1999 - February 4, 2000
AMERIPRISE FINANCIAL SERVICES, 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.
