Our Staff has compiled our research into a database of FINRA Broker Disclosures for E*Trade Securities LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Dominick J Delpozzo | 6976828 | 1 | 06/12/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Austyn A Hennings | 7388639 | 1 | 04/08/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Perry Nelson McCarthy | 6916266 | 2 | 04/02/2018 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Brian Kelly Spencer | 5801465 | 1 | 05/26/2016 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Ryan W Zielinski | 7624627 | 8 | 06/12/2015 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Phillip D McCarroll | 6530240 | 1 | 08/05/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Forrest T Magee | 7514073 | 1 | 04/05/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Daniel Craig Guarnieri | 7326273 | 1 | 03/15/2013 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Dylan Brenton | 7324936 | 2 | 09/29/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |
| Philip H Wierson | 7276052 | 1 | 04/15/2012 | Criminal | Final Disposition | $0.00 | $0.00 | See FINRA Report |