RIA Intelligence

RAA WEALTH MANAGEMENT, LLC

CRD #141526 SEC #801-67153 DALLAS, TX 972-233-3367
SEC Registered
Total AUM
$992.3M
Discretionary
$973.9M
Employees
--
Clients
--
Accounts
1,901

Firm Details

Organization Type
Limited Liability Company
State of Formation
--
Fiscal Year End
DECEMBER
Registration Date
--
Latest Filing
Mar 29, 2007
Branch Offices
--

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
AGARWAL, NAVEENISENIOR VICE PRESIDENTNA Control
BOCK, CYNTHIA, CRAMERISECRETARYNA Control
BOCK, CYNTHIA, CRAMERISECRETARYNA Control
CURCIO, MICHAEL, JOHNIMANAGERNA Control
CURCIO, MICHAEL, JOHNIMANAGERNA Control
EMMONS, MICHAEL, NEALIEXECUTIVE VICE PRESIDENTNA Control
EMMONS, MICHAEL, NEALIEXECUTIVE VICE PRESIDENTNA Control
FOSTER, JONATHAN, RICEIMANAGERNA Control
LILIEN, ROBERT, JARRETTIMANAGERNA Control
LILIEN, ROBERT, JARRETTIMANAGERNA Control
REYES, CHRISTOPHER, VALENTINICFONA Control
REYES, CHRISTOPHER, VALENTINICFONA Control
SMITH, CARROLL, ANNIEXECUTIVE VICE PRESIDENT / CHIEF COMPLIANCE OFFICERNA Control
SMITH, CARROLL, ANNIPRESIDENT / CHIEF COMPLIANCE OFFICERNA Control
WATSON, SHARON, HIEXECUTIVE VICE PRESIDENTNA Control
WATSON, SHARON, HIEXECUTIVE VICE PRESIDENTNA Control
E*TRADE WEALTH MANAGEMENT, INC.DEOWNERE Control
E*TRADE WEALTH MANAGEMENT, INC.DEOWNERE Control

Indirect Owners (Schedule B)

NameTypeEntityOwnershipControl
E*TRADE FINANCIAL CORPORATIONDEE*TRADE WEALTH MANAGEMENT, INC.E Control
E*TRADE FINANCIAL CORPORATIONDEE*TRADE WEALTH MANAGEMENT, INC.E Control

Registrations

Federal

IA
Mar 29, 2007 REGISTERED

Notice Filings (42)

AL AR AZ CA CO CT DE FL GA HI ID IL IN KS KY LA MA MD MI MN MO NC NE NH NJ NM NV NY OH OK OR PA RI SC TN TX UT VA VT WA WI WV

Address

13155 NOEL ROAD
SUITE 1800
DALLAS, TX 75240
USA
Phone: 972-233-3367