E*TRADE FINANCIAL ADVISORY SERVICES, INC.
CRD #146912 SEC #801-69082 NEW YORK, NY 646-521-4465
SEC Registered
Total AUM
--
Discretionary
--
Employees
10
Clients
0
Accounts
--
Firm Details
- Organization Type
- Corporation
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Dec 13, 2010
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CABALLERO, DILIA, MARIA | I | SECRETARY | NA | |
| CURCIO, MICHAEL, JOHN | I | DIR / CEO / PRESIDENT | NA | Control |
| CURCIO, MICHAEL, JOHN | I | DIR / CEO / PRESIDENT | NA | Control |
| CURCIO, MICHAEL, JOHN | I | DIR / CEO / PRESIDENT | NA | Control |
| GODES, ERIC, JAMES | I | EVP | NA | Control |
| GODES, ERIC, JAMES | I | EVP | NA | Control |
| GODES, ERIC, JAMES | I | EVP | NA | Control |
| GOTTFRIED, ELIZABETH, ANN | I | EVP / DIRECTOR | NA | Control |
| GOTTFRIED, ELIZABETH, ANN | I | EVP / DIRECTOR | NA | Control |
| GOTTFRIED, ELIZABETH, ANN | I | EVP / DIRECTOR | NA | Control |
| MULRON, SHANE, OSHEA SCOTTY | I | CFO | NA | Control |
| MULRON, SHANE, OSHEA SCOTTY | I | CFO | NA | Control |
| MULRON, SHANE, OSHEA SCOTTY | I | CFO | NA | Control |
| VIENICK, PAUL, ANDREW | I | DIRECTOR | NA | Control |
| VIENICK, PAUL, ANDREW | I | DIRECTOR | NA | Control |
| WILLIAMS, TIMOTHY, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WILLIAMS, TIMOTHY, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| WILLIAMS, TIMOTHY, MICHAEL | I | CHIEF COMPLIANCE OFFICER | NA | Control |
| E*TRADE BROKERAGE HOLDINGS, INC. | DE | OWNER | E | Control |
| E*TRADE BROKERAGE HOLDINGS, INC. | DE | OWNER | E | Control |
| E*TRADE BROKERAGE HOLDINGS, INC. | DE | OWNER | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| E*TRADE FINANCIAL CORPORATION | DE | E*TRADE BROKERAGE HOLDINGS, INC. | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | E*TRADE BROKERAGE HOLDINGS, INC. | E | Control |
| E*TRADE FINANCIAL CORPORATION | DE | E*TRADE BROKERAGE HOLDINGS, INC. | E | Control |
Registrations
Federal
IA
Dec 13, 2010 REGISTERED
Notice Filings (3)
CA NY VA
Address
1271 AVENUE OF THE AMERICAS14TH FL
NEW YORK, NY 10020-1302
United States
Phone: 646-521-4465