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JE

Jack Eaker

CRD# 1672223·Registered 1987 - 2016
Previously Registered: Being a previously registered professional could mean that Jack 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

Jack Eaker was a registered financial advisor. Jack was a previously registered financial professional and started their career in finance 1987 - 2016. Jack had worked at 13 firms and has passed the Series 63, SIE, Series 7 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

39 years in the financial services industry

Current & Past Employments

K.C. WARD FINANCIAL·CRD# 145135
BD
Ronkonkoma, NY
June 15, 2009 - November 1, 2016
SEABOARD SECURITIES, INC.·CRD# 755
BD
Florham Park, NJ
June 29, 1994 - June 12, 2009
FIRST ASSET MANAGEMENT, INC.·CRD# 17341
BD
Garden City, NY
June 3, 1993 - May 31, 1994
GRUNTAL & CO., L.L.C.·CRD# 372
BD
New York, NY
May 6, 1993 - June 3, 1993
ROBERT TODD FINANCIAL CORP.·CRD# 7423
BD
New York, NY
September 7, 1990 - April 7, 1993
CASTLE SECURITIES CORP.·CRD# 16077
BD
Freeport, NY
June 28, 1990 - August 31, 1990
KOCHCAPITAL·CRD# 21038
BD
December 18, 1989 - June 11, 1990
CITIGROUP GLOBAL MARKETS INC.·CRD# 7059
BD
New York, NY
June 24, 1989 - November 27, 1989
STRATTON SECURITIES, INC.·CRD# 11658
BD
March 28, 1989 - May 1, 1989
BARRETT DAY SECURITIES, INC.·CRD# 17717
BD
New York, NY
March 6, 1989 - April 3, 1989
INVESTORS CENTER, INC.·CRD# 14670
BD
September 24, 1987 - March 10, 1989
F.D. ROBERTS SECURITIES, INC.·CRD# 693
BD
July 29, 1987 - October 5, 1987
BLINDER, ROBINSON & CO., INC.·CRD# 5096
BD
July 21, 1987 - July 31, 1987

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Current Firm

KW
K.C. WARD FINANCIAL

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

CRD#: 145135 / SEC#: 8-67706
BD
Terminated by SEC on 02/16/2018

Contact Information

Established

Delaware since 06/01/2007

Firm Type

Limited Liability Company

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
WARD, LOUISCEO2080639
CARRILLO, CHARLESCHIEF COMPLIANCE OFFICER41630

Disclosures

Regulatory Event

3

Arbitration

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 Jul 1987About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Nov 2016About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jul 1987About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Jun 1996About 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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