Eldon L. Kariker
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Eldon Leroy Kariker, who also goes by Lee Kariker, was a registered financial professional .
Eldon is a previously registered financial professional and started their career in finance in 1983. Eldon had worked at 5 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2003 - April 28, 2004
MAIN STREET SECURITIES, LLC
August 14, 1993 - July 23, 2003
LOCUST STREET SECURITIES, INC.
March 6, 1987 - August 7, 1992
TRANSAMERICA SECURITIES SALES CORPORATION
November 3, 1986 - August 7, 1992
TRANSAMERICA FINANCIAL ADVISORS, INC.
October 20, 1983 - November 12, 1986
E. F. HUTTON & COMPANY 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
Exams
Current Firm
MAIN STREET SECURITIES, LLC
CRD#: 47127 / SEC#: , 8-51685
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
