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DE

David A. Eaton

Some features on this profile are disabled
CRD#: 2950273
DE

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.

David Alan Eaton was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1997. David had worked at 4 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

September 24, 2015 - March 16, 2016

RAFFERTY CAPITAL MARKETS, LLC

BD
CRD#: 23682
GARDEN CITY, NY
Past

September 19, 2008 - January 26, 2015

IRONWOOD INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 108467
BOSTON, MA
Past

June 24, 2002 - December 31, 2008

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
BOSTON, MA
Past

October 16, 1997 - March 13, 2001

UAM FUND DISTRIBUTORS, INC.

BD
CRD#: 24364
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/14/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 3/16/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 9/24/2015
Investment Company Products/Variable Contracts Representative Examination

Current Firm

RC
RAFFERTY CAPITAL MARKETS, LLC
COHANE RAFFERTY CAPITAL MARKETS, INC. | RAFFERTY CAPITAL MARKETS, LLC | RAFFERTY CAPITAL MARKETS, INC.

CRD#: 23682 / SEC#: , 8-40605

BD
Terminated by SEC on 02/19/2024
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 10/16/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
RAFFERTY HOLDINGS, LLCDIRECT OWNER
HAY, KATHLEEN RAFFERTYPRESIDENT5045127
GOODE, JACQUELINE MARIEFINOP1292607
GOODE, JACQUELINE MARIEPRINCIPAL FINANCIAL OFFICER1292607
JAMES, SHARICFO7516372
MARTENS, BARBARA LAUDISIPRINCIPAL OPERATIONS OFFICER2992393
MARTENS, BARBARA LAUDISICHIEF COMPLIANCE OFFICER2992393

Disclosures

Regulatory Event6

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.

Company Information

RAFFERTY CAPITAL MARKETS, LLC

CRD#: 23682

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