E*TRADE CAPITAL MANAGEMENT, LLC
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E*TRADE CAPITAL MANAGEMENT, LLC
(CRD# 42159)
is an SEC-Registered Investment Advisor (RIA), headquartered in
New York, NY.
The SEC approved the firm to operate as an RIA in
Nov 2000.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$5.7 Billion,
with discretion over
100%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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E*TRADE CAPITAL MANAGEMENT, LLC
also reported in
Mar 2019
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0
employees,
all of whom perform advisory functions.
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A total of 34 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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E*TRADE CAPITAL MANAGEMENT, LLC has no disclosure events reported to the SEC at this time.
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E*TRADE CAPITAL MANAGEMENT, LLC has Notice Filings with the following State Securities Authorities: AK-Jan 2001, AL-Jan 2001, AR-Dec 2000, AZ-Jan 2001, CA-Dec 2000
, CO-Aug 2002, CT-Jan 2001, DC-Jan 2001, DE-Apr 2003, FL-Jan 2002
, GA-Dec 2000, HI-Dec 2000, IA-Dec 2000, ID-Dec 2000, IL-Dec 2000
, IN-Dec 2000, KS-Dec 2000, KY-Nov 2002, LA-Oct 2001, MA-Nov 2002
, MD-Jan 2001, ME-Feb 2001, MI-Mar 2001, MN-Dec 2000, MO-Dec 2000
, MS-Dec 2000, MT-Jan 2001, NC-Mar 2001, ND-Dec 2000, NE-Jan 2001
, NH-Jan 2001, NJ-Aug 2002, NM-Jan 2001, NV-Jan 2001, NY-Feb 2000
, OH-Jan 2001, OK-Jan 2001, OR-Nov 2002, PA-Nov 2002, PR-Nov 2002
, RI-Jan 2001, SC-Mar 2001, SD-Dec 2000, TN-Jan 2001, TX-Apr 1997
, UT-Feb 2000, VA-Dec 2000, VI-Mar 2014, VT-Jan 2001, WA-Dec 2000
, WI-Dec 2000, WV-Jan 2001, WY-Aug 2017
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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