Robert T. Eads
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.
Robert Thomas Eads, who also goes by Bob Eads, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2002. Robert had worked at 1 firm and has passed the Series 63, Series 99TO, SIE and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2002 - May 12, 2022
JAMES RIVER SECURITIES CORP.
State Registrations and Notice Filings
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Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 5/20/2002
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
JAMES RIVER SECURITIES CORP.
CRD#: 38477 / SEC#: , 8-48270
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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