Stephen A. Eason
Professional summary
Stephen Alcuin Eason, who also goes by Stephen Alcvin Eason, is a registered financial professional currently at ULLICO INVESTMENT COMPANY, LLC located in Chapel Hill, North Carolina.
Stephen is registered as a RR (Registered Representative) and started their career in finance in 1983. Stephen has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 15, Series 3, Series 5 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Stephen Alcuin Eason's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 28, 2018 - Present
ULLICO INVESTMENT COMPANY, LLC
Office #1: 1215 Environ Way, Chapel Hill, NC 27517September 29, 2017 - May 4, 2018
AMUNDI DISTRIBUTOR US, INC.
August 15, 2013 - September 29, 2017
AMUNDI DISTRIBUTORS USA, LLC
February 12, 1999 - December 31, 1999
FORESIDE FUNDS DISTRIBUTORS LLC
January 22, 1992 - December 31, 1998
FPS BROKER SERVICES, INC.
April 19, 1983 - April 8, 1988
SALOMON BROTHERS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/28/2018)
Exams
Series 15
Date: 4/11/1984
Foreign Currency Options ExaminationSeries 5
Date: 7/14/1983
Interest Rate Options ExaminationFINRA
Current Firm
ULLICO INVESTMENT COMPANY, LLC
CRD#: 135195 / SEC#: , 8-66906
Contact information
FINRA licenses (8 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ULLICO INC. | SOLE SHAREHOLDER | |
| HUMPHREY, CATHY ANN | CHIEF OPERATIONS OFFICER | 4899999 |
| HUMPHREY, CATHY ANN | DIRECTOR | 4899999 |
| LAROCQUE, RICHARD FRANCIS | CHIEF COMPLIANCE OFFICER, GEN. SEC. PRINC | 2874559 |
| LINEHAN, JOSEPH RICHARD | GEN. SEC. PRINC.; AND PRESIDENT | 4951041 |
| LINEHAN, JOSEPH RICHARD | DIRECTOR | |
| YU, YINAN | CORPORATE SECRETARY, CFO, FINOP, TREASURER, DIRECTOR | 7787306 |
Red Flags
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Company Information
ULLICO INVESTMENT COMPANY, LLC
CRD#: 135195Chapel Hill, NC 27517TRUST BUT VERIFY
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