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DE

David C. Eaton

STANLEY LAMAN GROUP SECURITIES
Berwyn, PA 19312
Some features on this profile are disabled
CRD#: 1682553
DE

Professional summary

David Caldwell Eaton is a registered financial professional currently at STANLEY LAMAN GROUP SECURITIES, LLC located in Berwyn, Pennsylvania.

David is registered as a RR (Registered Representative) and started their career in finance in 1987. David has worked at 6 firms and has passed the Series 63, SIE and Series 7 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) - BD

Click below to view David Caldwell Eaton's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

August 28, 2003 - Present

STANLEY LAMAN GROUP SECURITIES, LLC

Office #1: 1235 Westlakes Drive, Suite 295, Berwyn, PA 19312Office #2: 1235 Westlakes Drive, Suite 295, Berwyn, PA 19312
BD
CRD#: 126160
Berwyn, PA
Past

May 29, 2002 - September 10, 2003

RAMPART FINANCIAL SERVICES, INC.

BD
CRD#: 43294
DOYLESTOWN, PA
Past

May 3, 1999 - April 16, 2002

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
NEW YORK, NY
Past

January 27, 1993 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

BD
CRD#: 6635
NEW YORK, NY
Past

April 22, 1992 - November 3, 1992

OSAIC WEALTH, INC.

BD
CRD#: 23131
SCOTTSDALE, AZ
Past

June 26, 1987 - April 22, 1992

CINCINNATI ANALYSTS, INC.

BD
CRD#: 5478
CINCINNATI, OH

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Pennsylvania
(9/24/2003)

Exams

State Security Law Exam
RR
Series 63
Date: 7/13/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/20/1987
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SL
STANLEY LAMAN GROUP SECURITIES, LLC
STANLEY LAMAN GROUP SECURITIES, LLC

CRD#: 126160 / SEC#: , 8-65856

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
1235 Westlakes Drive, Suite 295, Berwyn, PA 19312
Mailing Address
1235 Westlakes Drive, Suite 295, Berwyn, PA 19312
Phone number
(610) 993-9100
Established
Delaware since 04/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (12 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
STANLEY, WILLIAM GCEO, COO708205
EATON, DAVID CALDWELLMEMBER1682553
LAMAN, JAMES J.CFO, CLO, CCO4379338

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

STANLEY LAMAN GROUP SECURITIES, LLC

CRD#: 126160Berwyn, PA 19312

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