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ME

Marilyn Fox Eastman

CRD# 2098193·Registered 1991 - 2016
Previously Registered: Being a previously registered professional could mean that Marilyn 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.

Professional Summary

Marilyn Fox Eastman, who also goes by Fox Kloppenburg, Marilyn Fox Kloppenburg, was a registered financial advisor. Marilyn was a previously registered financial professional and started their career in finance 1991 - 2016. Marilyn had worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Fox Kloppenburg, Marilyn Fox Kloppenburg

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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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.

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Years of Experience

35 years in the financial services industry

Current & Past Employments

C. R. DAVIS & COMPANY·CRD# 1593
BD
Springfield, IL
November 28, 2001 - April 5, 2016
WADDELL & REED·CRD# 866
BD
Overland Park, KS
May 28, 1991 - December 5, 2001

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Current Firm

CR
C. R. DAVIS & COMPANY

C. R. DAVIS & COMPANY

CRD#: 1593 / SEC#: 8-859
BD
Terminated by SEC on 02/08/2021

Contact Information

Established

Illinois since 05/01/1945

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
GIBBS, JEFFREY RUSSELLPRESIDENT, DIRECTOR, CEO, CCO, COO STOCKHOLDER219904
HODGE, ROY GAREYSECRETARY, TREASURER, STOCKHOLDER2836072
EARLY, MARY ELIZABETHSTOCKHOLDER1176539
STEVENSON, SHIRLEY ANNVICE PRESIDENT OF MUTUAL FUNDS, CFO1171025

Disclosures

Regulatory Event

2

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Aug 1998About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 1990About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Apr 2016About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed May 1991About the Series 6 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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