William T. 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.
William Thomas Eaton, who also goes by Bill Eaton, Billy Eaton, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1999. William had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31 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
August 12, 2015 - November 18, 2016
LPL FINANCIAL LLC
August 11, 2015 - November 18, 2016
LPL FINANCIAL LLC
April 16, 2013 - August 13, 2015
WELLS FARGO CLEARING SERVICES, LLC
April 15, 2013 - August 13, 2015
WELLS FARGO CLEARING SERVICES, LLC
August 1, 2011 - April 18, 2013
TRUIST INVESTMENT SERVICES, INC.
July 27, 2011 - April 18, 2013
TRUIST INVESTMENT SERVICES, INC.
April 1, 2010 - July 22, 2011
CHASE INVESTMENT SERVICES CORP.
March 17, 2010 - July 22, 2011
CHASE INVESTMENT SERVICES CORP.
January 9, 2006 - February 23, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 6, 2006 - February 23, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 20, 1999 - January 10, 2006
MORGAN STANLEY DW INC.
September 20, 1999 - January 10, 2006
MORGAN STANLEY DW INC.
June 24, 1999 - August 23, 1999
GMS GROUP
Primary Firm SEC Registration
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
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
LPL FINANCIAL LLC
CRD#: 6413 / SEC#: 801-10970, 8-17668
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| AUDETTE, MATTHEW JON | PRESIDENT AND CHIEF FINANCIAL OFFICER | 4003349 |
| ENYEDI, MATTHEW KLAUS | MANAGING DIRECTOR, NATIONAL SALES | 4194266 |
| GATES, GREGORY | MANAGING DIRECTOR, CHIEF INFORMATION OFFICER | 7069201 |
| JAMBUSARIA, ANERI | MANAGING DIRECTOR LPL SERVICES GROUP | 7248335 |
| MALFITANO, STEVEN THOMAS | SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER | 3178848 |
| MCHALE, JAMES | EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 6052977 |
| RICKETTS, JUDITH KOHOSKIE | EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER | 2758924 |
| SIMONICH, BRENT BLAIN | EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER | 3254859 |
| STEINMEIER, RICHARD C | CHIEF EXECUTIVE OFFICER AND DIRECTOR | 5109512 |
Regulatory assets under management
| Total Number of Accounts | 2,369,378 |
| AUM (Assets Under Management) | $ 618,922,975,737 |
Disclosures
| Regulatory Event | 208 |
| Arbitration | 58 |
| Bond | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 | ||
| 07/19/2024 | ||
| 11/09/2023 |
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.
