Shawn C. Peck
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.
Shawn Curtis Peck, who also goes by Shawn C Peck, Shawn Peck, was a registered financial professional .
Shawn is a previously registered financial professional and started their career in finance in 2001. Shawn had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2018 - May 17, 2019
E*TRADE SECURITIES LLC
January 25, 2017 - March 9, 2018
SCOTTRADE INVESTMENT MANAGEMENT
November 4, 2015 - March 9, 2018
SCOTTRADE, INC.
July 16, 2013 - November 4, 2015
MORGAN STANLEY
June 25, 2013 - November 4, 2015
MORGAN STANLEY
November 1, 2012 - May 15, 2013
E*TRADE CLEARING LLC
July 28, 2009 - May 15, 2013
E*TRADE SECURITIES LLC
August 28, 2008 - May 4, 2009
FIDELITY BROKERAGE SERVICES LLC
August 15, 2006 - July 10, 2008
E*TRADE SECURITIES LLC
March 12, 2001 - February 8, 2002
WMA SECURITIES, 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
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.
