Colleen R. Eaton
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.
Colleen R Eaton, who also goes by Colleen S Eaton, Colleen R Siders, Colleen Rebecca Siders Eaton, Colleen Rebecca Siderseaton, was a registered financial professional .
Colleen is a previously registered financial professional and started their career in finance in 1996. Colleen had worked at 3 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 4, 2007 - April 19, 2012
CREW CAPITAL MANAGEMENT, LTD.
October 22, 2003 - June 26, 2007
CITIGROUP GLOBAL MARKETS INC.
September 2, 2003 - June 26, 2007
CITIGROUP GLOBAL MARKETS INC.
October 18, 1996 - September 29, 2003
LEGG MASON WOOD WALKER, INCORPORATED
Primary Firm SEC Registration
CREW CAPITAL MANAGEMENT, LTD.
CRD#: 125402 / SEC#: 801-119376
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
Current Firm
CREW CAPITAL MANAGEMENT, LTD.
CRD#: 125402 / SEC#: 801-119376
Contact information
SEC notice filing (8 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 572 |
| AUM (Assets Under Management) | $ 216,400,238 |
Red Flags
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.
