Jeffrey S. Sterling
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.
Jeffrey Scott Sterling was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 2001. Jeffrey had worked at 7 firms and has passed the Series 63, Series 7TO, Series 99TO, Series 57TO, SIE, Series 55 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
August 7, 2017 - October 5, 2021
E*TRADE SECURITIES LLC
March 4, 2013 - August 7, 2017
E*TRADE FUTURES LLC
October 1, 2012 - February 27, 2013
J.P. MORGAN SECURITIES LLC
December 3, 2004 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
June 2, 2004 - May 2, 2006
BANC ONE SECURITIES CORPORATION
July 30, 2003 - June 9, 2004
TAFFERER TRADING, LLC
May 18, 2001 - August 15, 2001
TD AMERITRADE, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 3/4/2024
General Securities Representative ExaminationSeries 99TO
Date: 3/4/2024
Operations Professional ExaminationSeries 57TO
Date: 3/4/2024
Securities Trader ExamSeries 55
Date: 11/18/2003
Limited Representative-Equity Trader ExamCurrent 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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