Alexandra M. 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.
Alexandra Morgan Eaton, who also goes by Alexandra Eaton, was a registered financial professional .
Alexandra is a previously registered financial professional and started their career in finance in 1999. Alexandra had worked at 3 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2010 - December 17, 2012
HARRIS WILLIAMS PRIMARY FUND PLACEMENT LLC
January 5, 2001 - March 5, 2009
GOLDMAN SACHS & CO. LLC
March 30, 1999 - January 8, 2001
MORGAN STANLEY & CO. LLC
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
HARRIS WILLIAMS PRIMARY FUND PLACEMENT LLC
CRD#: 131452 / SEC#: , 8-66464
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PNC BANK NATIONAL ASSOCIATION | PARENT | |
| AQUEDUCT CAPITAL HOLDINGS, LLC | SOLE MEMBER | |
| EDWARDS, FRANK HOOKER | CEO/CCO/MEMBER OF AQUEDUCT CAPITAL HOLDINGS, LLC | 2151464 |
| LESSING, STEPHEN MARION JR. | PARTNER | 5306328 |
| LONG, GEORGE PHILLIP MR. | CORPORATE SECRETARY | 5094038 |
| NEUNER, JOHN IV | BOARD MEMBER | 4578584 |
| VALENTINE, EDWARD WEST | BOARD MEMBER | 2399981 |
| WILCOX, BLAKE MILLER | FINOP | 5982383 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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