Easton D. Vernon
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.
Easton Dave Vernon, who also goes by Dave Vernon, Easton D Vernon, Easton David Vernon, was a registered financial professional .
Easton is a previously registered financial professional and started their career in finance in 1973. Easton had worked at 8 firms and has passed the Series 63, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 14, 2009 - August 28, 2014
GFA SECURITIES, LLC
August 1, 2003 - October 20, 2009
WALNUT STREET SECURITIES, INC.
August 8, 2002 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
July 11, 2001 - August 1, 2002
NATIONAL PLANNING CORPORATION
March 1, 1994 - July 31, 2001
NATHAN & LEWIS SECURITIES, INC.
July 9, 1986 - December 24, 1986
AMERICAN EXPRESS FINANCIAL ADVISORS JAPAN, INC.
October 17, 1973 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
October 17, 1973 - March 1, 1994
IDS LIFE INSURANCE COMPANY
October 17, 1973 - March 1, 1994
AMERIPRISE FINANCIAL SERVICES, 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
Series 1
Date: 10/15/1973
Registered Representative ExaminationCurrent Firm
GFA SECURITIES, LLC
CRD#: 128568 / SEC#: , 8-66154
Contact information
Documents
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.
