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JE

John Alan Eakins

CRD# 1604316·Registered 1986 - 1996
Previously Registered: Being a previously registered professional could mean that John 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.

Professional Summary

John Alan Eakins was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1986 - 1996. John had worked at 4 firms and has passed the Series 63, Series 7, Series 27 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

40 years in the financial services industry

Current & Past Employments

U.S.-WORLDWIDE FINANCIAL SERVICES, INC.·CRD# 19612
BD
Waco, TX
April 7, 1992 - December 31, 1996
OMNI SECURITIES, INC.·CRD# 21310
BD
September 5, 1989 - August 28, 1990
POWER SECURITIES CORPORATION·CRD# 15527
BD
March 3, 1987 - February 27, 1989
GREAT LAKES EQUITIES CO.·CRD# 16175
BD
December 10, 1986 - December 17, 1986

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Current Firm

UF
U.S.-WORLDWIDE FINANCIAL SERVICES, INC.

AMERICAN-INTERCONTINENTAL FINANCIAL SERVICES CORPORATION | U.S.-WORLDWIDE FINANCIAL SERVICES, INC. | AMERICAN-INTERNATIONAL FINANCIAL SERVICES CORPORATION

CRD#: 19612 / SEC#: 8-37691
BD
Terminated by SEC on 07/31/2006

Contact Information

Established

Texas since 02/05/1987

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
NALL, KENNETH HARDINGPRESIDENT (100% OWNER)/CHIEF COMPLIANCE OFFICER1195438
EDICK, ROBERT DONALDPRINCIPAL (NOT AN OWNER. 0% OWNERSHIP)1560512

Disclosures

Regulatory Event

1

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1987About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Nov 1986About the Series 7 exam

Series 27 — Financial and Operations Principal Examination

Passed Oct 1988About the Series 27 exam

Series 24 — General Securities Principal Examination

Passed Mar 1988About the Series 24 exam

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CRS (Client Relationship Summary)

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

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