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EM

Erin Morris

Some features on this profile are disabled
CRD#: 5443967
EM

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.

Erin Morris was a registered financial professional .

Erin is a previously registered financial professional and started their career in finance in 2007. Erin had worked at 2 firms and has passed the Series 63, Series 7, Series 4, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

October 25, 2013 - June 20, 2014

E*TRADE SECURITIES LLC

BD
CRD#: 29106
SANDY, UT
Past

December 11, 2007 - August 19, 2013

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SALT LAKE CITY, UT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/14/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/10/2007
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 1/29/2013
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 11/14/2012
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 10/26/2012
General Securities Sales Supervisor - Options Module Examination

Current Firm

ES
E*TRADE SECURITIES LLC
E*TRADE FROM MORGAN STANLEY | GATEWAY SECURITIES | E*TRADE SECURITIES, INCORPORATED | E*TRADE SECURITIES, INC. | E*TRADE SECURITIES LLC | E*TRADE SECURITIES

CRD#: 29106 / SEC#: , 8-44112

BD
Terminated by SEC on 02/13/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
Delaware since 05/02/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ETCM HOLDINGS, LLCOWNER
ADRIEN, JACQUES CCHIEF FINANCIAL OFFICER, FINANCIAL OPERATIONS OFFICER/PRINCIPAL FINANCIAL OFFICER2996942
FINN, JEDMANAGER5658048
GREANEY, BRIAN JOSEPHCHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER3274607
GREGO, JENNIFER ACHIEF COMPLIANCE OFFICER4928947
HENNESSY, MICHAEL SMANAGER1988660
JANOVER, JAMES TMANAGER2818307
TURNER, CHAD EDWARDPRESIDENT AND CHIEF EXECUTIVE OFFICER,MANAGER6009808

Disclosures

Regulatory Event93
Arbitration139

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.

Company Information

E*TRADE SECURITIES LLC

CRD#: 29106

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