Jeffrey A. Eshleman
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.
Jeffrey Alan Eshleman, who also goes by Jeffrey Alan Eshleman, Jeff Alan Eshleman, Jeff Eshleman, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 2004. Jeffrey had worked at 9 firms and has passed the Series 65, Series 63, Series 7TO, Series 57TO, SIE, Series 55 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
January 16, 2025 - May 14, 2026
CHARLES SCHWAB & CO., INC.
November 1, 2024 - May 14, 2026
CHARLES SCHWAB & CO., INC.
July 5, 2024 - August 29, 2024
GREAT POINT CAPITAL LLC
March 10, 2022 - March 31, 2022
FIDELITY BROKERAGE SERVICES LLC
April 30, 2020 - December 13, 2021
GREAT POINT CAPITAL LLC
September 3, 2019 - April 28, 2020
AGES FINANCIAL SERVICES, LTD.
November 29, 2018 - October 1, 2019
T3 TRADING GROUP, LLC
April 24, 2017 - December 4, 2017
GREAT POINT CAPITAL LLC
February 4, 2014 - December 17, 2015
GREAT POINT CAPITAL LLC
February 6, 2012 - October 21, 2013
T3 TRADING GROUP, LLC
May 6, 2011 - January 31, 2012
WTS PROPRIETARY TRADING GROUP LLC
January 5, 2009 - November 15, 2010
GENESIS SECURITIES, LLC
June 1, 2007 - January 2, 2009
FIS BROKERAGE & SECURITIES SERVICES LLC
November 23, 2004 - April 19, 2007
KERSHNER TRADING GROUP, LLC
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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 7TO
Date: 7/5/2024
General Securities Representative ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/29/2004
Limited Representative-Equity Trader ExamCurrent Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 251 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2026 | ||
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
