Geoffery W. Sandoval
Professional summary
Geoffery Wray Sandoval was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Geoffery is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Geoffery had worked at 3 firms, which includes E*TRADE SECURITIES LLC, MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, EDWARD JONES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2002 - April 2, 2002
E*TRADE SECURITIES LLC
October 8, 2001 - January 17, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 2, 2001 - September 25, 2001
EDWARD JONES
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
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