Jack Eaker

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CRD#: 1672223

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.

Jack Eaker was a registered financial professional .

Jack is a previously registered financial professional and started their career in finance in 1987. Jack had worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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 15, 2009 - November 1, 2016

K.C. WARD FINANCIAL

CRD#: 145135

RONKONKOMA, NY

Past

June 29, 1994 - June 12, 2009

SEABOARD SECURITIES, INC.

CRD#: 755

FLORHAM PARK, NJ

Past

June 3, 1993 - May 31, 1994

FIRST ASSET MANAGEMENT, INC.

CRD#: 17341

GARDEN CITY, NY

Past

May 6, 1993 - June 3, 1993

GRUNTAL & CO., L.L.C.

CRD#: 372

NEW YORK, NY

Past

September 7, 1990 - April 7, 1993

ROBERT TODD FINANCIAL CORP.

CRD#: 7423

NEW YORK, NY

Past

June 28, 1990 - August 31, 1990

CASTLE SECURITIES CORP.

CRD#: 16077

FREEPORT, NY

Past

December 18, 1989 - June 11, 1990

KOCHCAPITAL

CRD#: 21038

Past

June 24, 1989 - November 27, 1989

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 28, 1989 - May 1, 1989

STRATTON SECURITIES, INC.

CRD#: 11658

Past

March 6, 1989 - April 3, 1989

BARRETT DAY SECURITIES, INC.

CRD#: 17717

NEW YORK, NY

Past

September 24, 1987 - March 10, 1989

INVESTORS CENTER, INC.

CRD#: 14670

Past

July 29, 1987 - October 5, 1987

F.D. ROBERTS SECURITIES, INC.

CRD#: 693

Past

July 21, 1987 - July 31, 1987

BLINDER, ROBINSON & CO., INC.

CRD#: 5096

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

Series 63

Date: 7/29/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/1/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/18/1987

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/28/1996

General Securities Principal Examination

Current Firm

K.C. WARD FINANCIAL

K.C. WARD FINANCIAL | K.C. WARD FINANCIAL LLC

CRD#: 145135 / SEC#: , 8-67706

Terminated by SEC on 02/16/2018

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Contact information

Main Address

Mailing Address

Phone number

Established

Delaware since 06/01/2007

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
WARD, LOUIS	CEO	2080639
CARRILLO, CHARLES	CHIEF COMPLIANCE OFFICER	41630

Disclosures

Regulatory Event	3
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.

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Advisor Monitoring

Firm Stability Insights

Jack Eaker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SEABOARD SECURITIES, INC.

FIRST ASSET MANAGEMENT, INC.

GRUNTAL & CO., L.L.C.

ROBERT TODD FINANCIAL CORP.

CASTLE SECURITIES CORP.

KOCHCAPITAL

CITIGROUP GLOBAL MARKETS INC.

STRATTON SECURITIES, INC.

BARRETT DAY SECURITIES, INC.

INVESTORS CENTER, INC.

F.D. ROBERTS SECURITIES, INC.

BLINDER, ROBINSON & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/29/1987

SIE

Date: 11/1/2016

Series 7

Date: 7/18/1987

Series 24

Date: 6/28/1996

Current Firm

K.C. WARD FINANCIAL

Contact information

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

K.C. WARD FINANCIAL

TRUST BUT VERIFY

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