Steven J. Svoboda
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.
Steven John Svoboda, who also goes by Steve Svoboda, was a registered financial professional .
Steven is a previously registered financial professional and started their career in finance in 1985. Steven had worked at 9 firms and has passed the Series 63, Series 7, Series 22, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 1998 - October 3, 2008
EAGLE ONE INVESTMENTS, LLC
April 8, 1998 - July 23, 1998
MJK CLEARING, INC.
July 19, 1997 - April 15, 1998
FINTEGRA, LLC
December 20, 1996 - July 3, 1997
INVEST FINANCIAL CORPORATION
May 1, 1990 - May 5, 1997
INVESTMENT CENTERS OF AMERICA, INC.
April 3, 1989 - May 4, 1990
AEGON USA SECURITIES INC.
March 28, 1988 - April 27, 1989
PERPETUAL INVESTMENT ASSOCIATES
February 18, 1987 - March 31, 1988
EDWARD JONES
August 20, 1985 - February 13, 1987
THE O.N. EQUITY SALES COMPANY
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
EAGLE ONE INVESTMENTS, LLC
CRD#: 45254 / SEC#: , 8-51002
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KRUMBOLTZ, BRENT THOMAS | DIRECTOR | 2219848 |
| PAULSON, DAVID CLAIRE | CEO/CFO/DIRECTOR | 1430385 |
| VANDEWEERD, ALAN LEE | DIRECTOR | 829161 |
| ALEXANDER, THOMAS EUGENE | DIRECTOR | 1176667 |
| ELSE, JOHN JEFFREY | MEMBER | 1948228 |
| FARRELL, PATRICK STUART | MEMBER | 872923 |
| HAGERTY, MICHAEL CHARLES | DIRECTOR | 2053557 |
| BAGBY, DOUGLAS BLAINE | MEMBER | 1335894 |
| COLLETT, MARTY MARIE | COO | 4457693 |
| GOODWIN, MATTHEW EVERETTE | PRESIDENT/CCO | 4447880 |
Disclosures
| Bond | 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.
