Earl Fain
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.
Earl Fain III, who also goes by Earl Fain, was a registered financial professional .
Earl is a previously registered financial professional and started their career in finance in 1967. Earl had worked at 11 firms and has passed the Series 63, Series 5 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 2004 - March 16, 2017
GOODPASTURE GRAY
November 25, 2003 - March 7, 2006
WESTERN INTERNATIONAL SECURITIES, INC.
December 24, 1992 - December 31, 2001
MOMENTUM INDEPENDENT NETWORK INC.
November 1, 1989 - January 16, 1991
PRINCIPAL FINANCIAL SECURITIES,INC.
February 7, 1989 - November 8, 1989
METROTECH TRADING CORPORATION
July 15, 1988 - November 22, 1988
CHERRYWOOD DEVELOPMENT TRUST, INC.
July 14, 1987 - January 16, 1991
PRINCIPAL FINANCIAL SECURITIES,INC.
August 10, 1978 - November 20, 1986
DREXEL BURNHAM LAMBERT INCORPORATED
February 24, 1978 - September 21, 1978
MORGAN STANLEY DW INC.
June 1, 1973 - February 24, 1978
REYNOLDS SECURITIES, INC.
April 30, 1971 - May 3, 1973
DOMIK CORP.
April 27, 1967 - May 2, 1971
EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED
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 5
Date: 10/6/1981
Interest Rate Options ExaminationSeries 1
Date: 5/1/1968
Registered Representative ExaminationCurrent Firm
GOODPASTURE GRAY
CRD#: 108916 / SEC#: 801-99372
Contact information
Regulatory assets under management
| Total Number of Accounts | 328 |
| AUM (Assets Under Management) | $ 310,960,865 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
