Claude A. Eatman
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.
Claude Anthony Eatman JR, who also goes by Claude Anthony Eastman Jr, was a registered financial professional .
Claude is a previously registered financial professional and started their career in finance in 1989. Claude had worked at 6 firms and has passed the Series 63, Series 7, Series 62, Series 4 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
August 2, 1996 - September 10, 2001
NEBRASKA HUDSON COMPANY, INC.
June 15, 1995 - July 24, 1996
INSTITUTIONAL EQUITY CORPORATION
March 28, 1995 - June 15, 1995
MEYERS POLLOCK ROBBINS, INC.
August 6, 1994 - December 2, 1994
TUSCANY EQUITY MANAGEMENT CORPORATI0N
May 4, 1992 - November 19, 1992
FIRST ASSET MANAGEMENT, INC.
April 6, 1989 - May 14, 1992
ROYCE INVESTMENT GROUP, INC.
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
Series 62
Date: 4/5/1989
Corporate Securities Limited Representative ExaminationCurrent Firm
NEBRASKA HUDSON COMPANY, INC.
CRD#: 27501 / SEC#: , 8-43127
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERITRADE HOLDING CORPORATION | PARENT CORPORATION | |
| RICKETTS, JOHN PETER | VICE CHAIRMAN / PRESIDENT/CROP/SROP | 2446207 |
| CAVANAUGH, JOHN STEPHEN III | DIRECTOR OF COMPLIANCE | 2032977 |
| ENGEL, BRYCE BRADLEY | VICE PRESIDENT - OPERATIONS | 2748956 |
| GIBSON, MARK ALAN | VICE PRESIDENT - CLIENT SERVICES AND TECHNOLOGY SUPPORT | 2411853 |
| HEAD, MICHAEL JAMES | SECRETARY | 4022730 |
| LANGWITH, JOHN EDMUND III | VICE PRESIDENT - FINANCE; FINOP | 2709446 |
| WOOD, WILLIAM ARTHUR | EXECUTIVE VICE PRESIDENT - TRADING | 2196678 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 16 |
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.
