AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JE

James C. Eastman

Some features on this profile are disabled
CRD#: 1385303
JE

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.

James Clifford Eastman was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1985. James had worked at 9 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

June 5, 2018 - December 31, 2024

PFO INVESTMENT ADVISORS, LLC

RIA
CRD#: 283932
NAPLES, FL
Past

September 9, 2013 - October 17, 2016

RFO WEALTH ADVISORS, LLC

RIA
CRD#: 166713
NAPLES, FL
Past

May 6, 2010 - October 17, 2016

RFO INVESTMENT ADVISORS, LLC

RIA
CRD#: 152905
NAPLES, FL
Past

March 26, 2010 - October 4, 2012

WESTPORT RESOURCES MANAGEMENT INC

RIA
CRD#: 105306
NAPLES, FL
Past

January 15, 2010 - October 4, 2012

SMH CAPITAL INVESTMENTS LLC

BD
CRD#: 24535
NAPLES, FL
Past

June 1, 2009 - January 29, 2010

MORGAN STANLEY

RIA
CRD#: 149777
NAPLES, FL
Past

June 1, 2009 - January 29, 2010

MORGAN STANLEY

BD
CRD#: 149777
NAPLES, FL
Past

May 21, 2001 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
NAPLES, FL
Past

May 18, 2001 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NAPLES, FL
Past

December 20, 1991 - June 1, 2001

ROBERT W. BAIRD & CO. INCORPORATED

BD
CRD#: 8158
MILWAUKEE, WI
Past

July 30, 1985 - June 6, 1988

PFS INVESTMENTS INC.

BD
CRD#: 10111

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 7/26/1995
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/30/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/18/1991
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 7/29/1985
Investment Company Products/Variable Contracts Representative Examination

Current Firm

PI
PFO INVESTMENT ADVISORS, LLC
PFO INVESTMENT ADVISORS, LLC

CRD#: 283932 / SEC#:

Florida
Registered Investment Advisory firm - (9/27/2016 Approved)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
9045 Strada Stell Court #106, Naples, FL 34109
Mailing Address
Phone number
(239) 591-5949
Established
Firm type
Fiscal year end
# of Employees
3

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts21
AUM (Assets Under Management)$ 18,838,805

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.

Company Information

PFO INVESTMENT ADVISORS, LLC

CRD#: 283932

TRUST BUT VERIFY

Monitor James Eastman

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics