Earle Wood Evans Iii
Professional Summary
Earle Wood Evans III, who also goes by Duke Evans, Earle Wood Evans, was a registered financial advisor. Earle was a previously registered financial professional and started their career in finance 1968 - 2015. Earle had worked at 9 firms and has passed the Series 63, SIE, Series 000, Series 1, Series 24, Series 4 and Series 12 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Duke Evans, Earle Wood Evans
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Contact Information
No current employment
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Years of Experience
58 years in the financial services industry
Current & Past Employments
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
Current Firm
FORSYTH SECURITES, INC. | OAKBRIDGE FINANCIAL SERVICES, INC. | OAKBRIDGE FINANCIAL SERVICES | FORSYTH SECURITIES, INC.
Contact Information
Established
Missouri since 01/09/1985Firm Type
CorporationFiscal Year End
SeptemberDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HUANG, JOHN CHUNEN | OWNER | 2659909 |
| STANDLEY, MICHAEL THOMAS | OWNER | — |
| WINTER, KATHRYN ANN | OWNER | 4523089 |
| CLAYTON, ALAN CLIFTON | OWNER | 2407426 |
| DAVIS, GRAHAM LEWIS | OWNER | 2430102 |
| HIGGINBOTHAM, SUZANNE G | OWNER | 1443872 |
| LARSON, STEVEN ELLSWORTH | OWNER | 2422755 |
| SIEBER, DEBRA ANN | OWNER | 5636638 |
| WILSON, CHARLENE FAITH | FINOP, CCO | 1935747 |
Disclosures
Regulatory Event
7Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
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.
Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 000 — General Securities Principal Examination
Passed Jan 1968Series 1 — Registered Representative Examination
Passed Dec 1967Series 12 — NYSE Branch Manager Examination
Passed Apr 1979Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
OSAIC WEALTH, INC.
AUSDAL FINANCIAL PARTNERS, INC.
MORGAN STANLEY
SOLTIS INVESTMENT ADVISORS, LLC
