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Douglas J. Eaton
EATON FINANCIAL GROUP
CORAL SPRINGS, FL 33076
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CRD#: 2780814
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Professional summary
Douglas Jay Eaton, AIF® is a registered financial advisor currently at EATON FINANCIAL GROUP located in Coral Springs, Florida.
Douglas is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Douglas has worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1.NAME OF THE OTHER BUSINESS EATON FINANCIAL HOLDINGS COMPANY/EATON FINANCIAL GROUP; CORAL SPRINGS, FL 33065; FINANCIAL INSTITUTION; PRESIDENT; INVESTMENT RELATED; YES START DATE: 09/26/2017; NUMBER OF HOURS PER MONTH; 180; 120 DURING Trading hours; COMPREHENSIVE INVESTMENT ADVISORY. 2.NAME OF THE OTHER BUSINESS: Insurance Consultation (Life, Long term care and disability) Nature of Business : INVESTMENT- RELATED: Yes; Financial Institution; ADDRESS OF THE OTHER BUSINESS: Coral Springs, FL 33065; YOUR POSITION OR TITLE: Principal; Investment related: YES NUMBER OF HOURS PER MONTH; 10; 10 DURING Trading hours; 3.NATURE OF THE OTHER BUSINESS: Insurance Private Business START DATE:3/1/1996; 4.NAME OF THE OTHER BUSINESS: Parkland Chamber of Commerce; INVESTMENT- RELATED: No; Financial Institution; NO ADDRESS OF THE OTHER BUSINESS: Parkland, FL33076; YOUR POSITION OR TITLE: President; NATURE OF THE OTHER BUSINESS: Charitable Private Business START DATE:01/01/2022; 5.NAME OF THE OTHER BUSINESS:RUN4BEIGEL; INVESTMENT- RELATED: No; Financial Institution; NO ADDRESS OF THE OTHER BUSINESS: Parkland, FL33076; YOUR POSITION OR TITLE: Race Director; NATURE OF THE OTHER BUSINESS: Charitable Private Business START DATE: 02/01/2020 6. President; 401k Simplified; Is the business investment related: Yes; Location of the business: 3111 N. University Drive Coral Springs FL 33065 USA; Description of the business: This is an enitity that markets and educates employees related to small business retirement plans.; Responsibilities Duties: Provide education for employees and employers on small business retirement plans; Start date with business: 2024-03-01; Hours per month devoted to business during trading hours: 5; Hours per month devoted to business outside trading hours: 5; Percentage of total yearly compensation expected to be derived from the business: 1; 7. Douglas Eaton is a Co-Founder at 401k Simplified; investment related: Yes; 3111 N. University Drive Coral Springs FL 33065; Start date: April 11, 2024; Description: Specialize in tailored 401K plans for small businesses, independent professionals; Responsibilities Duties: Day-to-day operations, business development; 10 Hours per month during trading hours; 10 Hours per month outside trading hours; 1% of yearly compensation to the business. Contact person: Douglas Eaton; Website address for the organization: www.401ksimplified.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Jay Eaton's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
November 29, 2021 - Present
EATON FINANCIAL GROUP
Office #1: 11555 Heron Bay Boulevard Suite 200, Coral Springs, FL 33076RIA
CRD#: 316323
CORAL SPRINGS, FL
Past
October 15, 2019 - October 23, 2023
SORRENTO PACIFIC FINANCIAL, LLC
BD
CRD#: 127787
Coral Springs, FL
Past
September 24, 2019 - December 16, 2021
SCHORN WEALTH
RIA
CRD#: 304104
ENGLEWOOD, FL
Past
November 27, 2012 - September 30, 2019
FIRST ALLIED SECURITIES, INC.
BD
CRD#: 32444
CORAL SPRINGS, FL
Past
November 26, 2012 - September 30, 2019
FIRST ALLIED ADVISORY SERVICES, INC.
RIA
CRD#: 137888
CORAL SPRINGS, FL
Past
May 5, 2004 - November 27, 2012
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
NEW YORK, NY
Past
April 21, 2004 - November 27, 2012
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
NEW YORK, NY
Past
August 1, 2002 - April 28, 2004
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
NEW YORK, NY
Past
November 20, 1998 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
BD
CRD#: 4039
NEW YORK, NY
Past
November 20, 1998 - April 28, 2004
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
NEW YORK, NY
Past
June 14, 1997 - November 12, 1998
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
EF
EATON FINANCIAL GROUP
401K SIMPLIFIED | ROYAL CAPITAL MANAGEMENT LLC | PALM WEALTH PARTNERS | EATON FINANCIAL HOLDINGS COMPANY, LLC | EATON FINANCIAL GROUP
CRD#: 316323 / SEC#: 801-122301
RIA
Registered Investment Advisory firm - (9/13/2021 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Florida(11/29/2021)
IAR
Texas(4/28/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
EF
EATON FINANCIAL GROUP
401K SIMPLIFIED | ROYAL CAPITAL MANAGEMENT LLC | PALM WEALTH PARTNERS | EATON FINANCIAL HOLDINGS COMPANY, LLC | EATON FINANCIAL GROUP
CRD#: 316323 / SEC#: 801-122301
RIA
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Contact information
Main Address
11555 Heron Bay Boulevard Suite 200, Coral Springs, FL 33076
Mailing Address
Phone number
(954) 575-9323
Established
Firm type
Fiscal year end
# of Employees
4
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,283 |
| AUM (Assets Under Management) | $ 389,074,886 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
EATON FINANCIAL GROUP
CRD#: 316323Coral Springs, FL 33076TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
