Fred W. Eaker
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.
Fred Warren Eaker JR, who also goes by Fred Warren Eaker, Fred Warren Eaker Jr, was a registered financial professional .
Fred is a previously registered financial professional and started their career in finance in 1992. Fred had worked at 12 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53, Series 51 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
February 26, 2020 - March 1, 2021
ALIGHT FINANCIAL SOLUTIONS, LLC
March 25, 2017 - June 4, 2019
MML INVESTORS SERVICES, LLC
November 9, 2007 - September 5, 2013
WALNUT STREET SECURITIES, INC.
November 9, 2007 - September 5, 2013
TOWER SQUARE SECURITIES, INC.
November 9, 2007 - January 2, 2015
NEW ENGLAND SECURITIES
October 24, 2007 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
May 12, 2004 - October 2, 2007
WORLD INVESTMENTS, LLC
October 15, 2003 - May 5, 2004
THE POWELL FINANCIAL GROUP, INC.
August 1, 2003 - February 25, 2004
WALNUT STREET SECURITIES, INC.
June 5, 1997 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
February 16, 1994 - May 8, 1997
FLEET ENTERPRISES, INC.
March 26, 1992 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 26, 1992 - January 31, 1994
PRUCO SECURITIES, LLC.
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
ALIGHT FINANCIAL SOLUTIONS, LLC
CRD#: 36509 / SEC#: , 8-47344
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
| Arbitration | 2 |
Red Flags
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