Richard L. Elliott
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.
Richard Linn Elliott was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1978. Richard had worked at 14 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2012 - June 11, 2013
E*TRADE CLEARING LLC
June 8, 2010 - May 16, 2012
HARRISDIRECT LLC
June 8, 2010 - March 22, 2022
E*TRADE SECURITIES LLC
January 22, 2007 - September 10, 2008
CUNA BROKERAGE SERVICES, INC.
January 22, 2007 - September 10, 2008
CUNA BROKERAGE SERVICES, INC.
March 6, 2006 - January 24, 2007
CUSO FINANCIAL SERVICES, L.P.
March 6, 2006 - January 24, 2007
CUSO FINANCIAL SERVICES, L.P.
January 20, 2006 - February 10, 2006
MSI FINANCIAL SERVICES, INC.
December 1, 2005 - February 10, 2006
METROPOLITAN LIFE INSURANCE COMPANY
December 1, 2005 - February 10, 2006
MSI FINANCIAL SERVICES, INC.
February 12, 2003 - January 20, 2006
CITISTREET EQUITIES LLC
September 8, 1995 - February 21, 2003
CETERA WEALTH SERVICES, LLC
February 7, 1995 - February 21, 2003
CETERA WEALTH SERVICES, LLC
May 16, 1994 - January 25, 1995
VERAVEST INVESTMENTS, INC.
November 29, 1993 - March 4, 1994
GATEWAY INVESTMENT SERVICES, INC.
June 29, 1993 - December 31, 1993
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 27, 1991 - June 1, 1993
METROPOLITAN LIFE INSURANCE COMPANY
March 27, 1991 - June 1, 1993
MSI FINANCIAL SERVICES, INC.
September 4, 1990 - December 31, 1990
WELLS FARGO CLEARING SERVICES, LLC
July 3, 1978 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
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 8
Date: 4/4/1983
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
E*TRADE CLEARING LLC
CRD#: 25025 / SEC#: , 8-41354
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ETCM HOLDINGS, LLC | OWNER | |
| ENGEL, STEVEN JAY | MANAGER | 6474140 |
| INGGS, DAVID M | MANAGER | 4875173 |
| INGGS, DAVID M | CHIEF EXECUTIVE OFFICER | 4875173 |
| INGGS, DAVID M | PRESIDENT | 4875173 |
| MASTRIANNI, JOSEPH FRANCIS | CHIEF COMPLIANCE OFFICER | 1131254 |
| MURRAY, MATTHEW ANDREW | CHIEF OPERATIONS OFFICER | 4009310 |
| MURRAY, MATTHEW ANDREW | MANAGER | 4009310 |
| SHER, LORI SUE | SECRETARY | 5509677 |
| SIMONICH, BRENT BLAIN | FINOP | 3254859 |
| SIMONICH, BRENT BLAIN | MANAGER | 3254859 |
| SIMONICH, BRENT BLAIN | CHIEF FINANCIAL OFFICER | 3254859 |
Disclosures
| Regulatory Event | 29 |
| Arbitration | 1 |
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.
