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JE

John Michael Easterling

CRD# 2320872·Registered 1993 - 2019
Previously Registered: Being a previously registered professional could mean that John 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

John Michael Easterling, who also goes by John Mike Easterling, was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1993 - 2019. John had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7 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

John Mike Easterling

Blog Corner

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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

33 years in the financial services industry

Current & Past Employments

USAA FINANCIAL ADVISORS, INC.·CRD# 129035
BD
San Antonio, TX
October 22, 2010 - August 21, 2019
TD AMERITRADE, INC.·CRD# 7870
BD
Fort Worth, TX
January 26, 2006 - October 11, 2010
TD AMERITRADE INVESTMENT MANAGEMENT, LLC·CRD# 111514
RIA
Fort Worth, TX
July 27, 2005 - January 30, 2006
TD AMERITRADE CLEARING, INC.·CRD# 5633
BD
Omaha, NE
March 8, 2005 - January 30, 2006
SCOTTRADE, INC.·CRD# 8206
BD
St. Louis, MO
November 19, 2004 - February 4, 2005
METROPOLITAN LIFE INSURANCE COMPANY·CRD# 4095
BD
New York, NY
February 20, 2004 - July 7, 2004
MSI FINANCIAL SERVICES, INC.·CRD# 14251
BD
Springfield, MA
February 20, 2004 - July 7, 2004
GEO SECURITIES, INC.·CRD# 44830
BD
Dallas, TX
January 15, 2002 - December 4, 2002
FIDELITY DISTRIBUTORS COMPANY LLC·CRD# 17507
BD
Smithfield, RI
April 4, 2001 - January 16, 2002
FIDELITY BROKERAGE SERVICES LLC·CRD# 7784
BD
Smithfield, RI
March 3, 1998 - February 1, 2001
FIDELITY DISTRIBUTORS COMPANY LLC·CRD# 17507
BD
Smithfield, RI
August 16, 1995 - April 15, 1998
FIDELITY BROKERAGE SERVICES LLC·CRD# 7784
BD
Smithfield, RI
May 15, 1995 - August 17, 1995
FIDELITY DISTRIBUTORS COMPANY LLC·CRD# 17507
BD
Smithfield, RI
February 17, 1995 - May 15, 1995
FIDELITY BROKERAGE SERVICES LLC·CRD# 7784
BD
Smithfield, RI
February 22, 1993 - February 17, 1995

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Current Firm

UF
USAA FINANCIAL ADVISORS, INC.

USAA FINANCIAL ADVISORS, INC.

CRD#: 129035 / SEC#: 8-66197
BD
Terminated by SEC on 08/29/2020

Contact Information

Established

Delaware since 07/15/2003

Firm Type

Corporation

Fiscal Year End

December

Documents

Direct owners and executive officers

NamePositionCRD#
USAA FINANCIAL PLANNING SERVICES INSURANCE AGENCY, INC.SHAREHOLDER—
FLORES, JENNIFER MARGRETFINOP AND PRINCIPAL FINANCIAL OFFICER4175069
MUIR, JAMES DYERCHIEF COMPLIANCE OFFICER2801996

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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.

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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 66 — Uniform Combined State Law Examination

Passed Jul 2005About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Mar 1993About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed Jun 1994About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Feb 1993About 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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