Matthew J. Wesche
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.
Matthew Justin Wesche, who also goes by Matthew Justin Wesche, Matt Wesche, was a registered financial professional .
Matthew is a previously registered financial professional and started their career in finance in 2004. Matthew had worked at 7 firms and has passed the Series 66, Series 7TO, Series 99TO, SIE, Series 7, Series 24 and Series 4 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 - February 18, 2021
E*TRADE SECURITIES LLC
March 17, 2015 - August 7, 2017
E*TRADE FUTURES LLC
March 31, 2008 - January 16, 2014
SCOTTRADE, INC.
May 5, 2005 - January 27, 2006
MOMENTUM INDEPENDENT NETWORK INC.
May 4, 2005 - May 8, 2006
MOMENTUM INDEPENDENT NETWORK INC.
December 8, 2004 - March 16, 2005
EDWARD JONES
December 7, 2004 - March 16, 2005
EDWARD JONES
September 7, 2004 - November 5, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
August 18, 2004 - November 5, 2004
IDS LIFE INSURANCE COMPANY
August 18, 2004 - November 5, 2004
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
Series 7TO
Date: 3/26/2024
General Securities Representative ExaminationSeries 99TO
Date: 3/26/2024
Operations Professional 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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