David M. Crockett
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 Mark Crockett, who also goes by Mark Crockett, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1999. David had worked at 8 firms and has passed the Series 66, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 25, 2013 - March 21, 2014
EAGLE STRATEGIES LLC
August 9, 2012 - March 21, 2014
NYLIFE SECURITIES LLC
February 6, 2012 - June 20, 2012
INNOVATION PARTNERS LLC
January 30, 2012 - June 20, 2012
INNOVATION PARTNERS LLC
October 18, 2010 - December 31, 2011
PRESTIGE CAPITAL ADVISORS, LLC
June 7, 2010 - June 22, 2010
SILVER OAK SECURITIES, INCORPORATED
August 14, 2006 - March 25, 2010
UBS FINANCIAL SERVICES INC.
July 17, 2006 - March 25, 2010
UBS FINANCIAL SERVICES INC.
August 23, 2005 - July 12, 2006
WELLS FARGO CLEARING SERVICES, LLC
April 19, 1999 - August 17, 2005
VANGUARD MARKETING CORPORATION
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
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
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 111,361 |
| AUM (Assets Under Management) | $ 25,395,380,570 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 04/25/2024 | ||
| 12/20/2023 |
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.
