Richard J. Eaton
Professional summary
Richard John Eaton was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Richard is a previously registered financial professional and started their career in finance in 1989. Prior to being barred, Richard had worked at 3 firms, which includes FIRST CAMBRIDGE SECURITIES CORPORATION, BOENNING & SCATTERGOOD INC., ROYCE INVESTMENT GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 1996 - May 23, 1997
FIRST CAMBRIDGE SECURITIES CORPORATION
October 6, 1994 - October 23, 1996
BOENNING & SCATTERGOOD, INC.
May 6, 1989 - October 7, 1994
ROYCE INVESTMENT GROUP, INC.
State Registrations and Notice Filings
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Exams
Series 62
Date: 4/25/1989
Corporate Securities Limited Representative ExaminationCurrent Firm
FIRST CAMBRIDGE SECURITIES CORPORATION
CRD#: 21846 / SEC#: , 8-39108
Contact information
Documents
Red Flags
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