FA
Francis C. Aitken
EASTERLY SECURITIES LLC
Beverly, MA 01915
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CRD#: 5114936
FA
Professional summary
Francis Constantine Thomas Aitken, who also goes by Tom Aitken, Francis Constantine Aitken, is a registered financial professional currently at EASTERLY SECURITIES LLC located in Beverly, Massachusetts.
Francis is registered as a RR (Registered Representative) and started their career in finance in 2006. Francis has worked at 6 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Tom Aitken | Francis Constantine Aitken
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Francis Constantine Thomas Aitken's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
October 8, 2024 - Present
EASTERLY SECURITIES LLC
Office #1: 138 Conant Street Suite 100, Beverly, MA 01915BD
CRD#: 281103
Beverly, MA
Past
October 8, 2020 - October 29, 2024
UBS FUND SERVICES (USA) LLC
BD
CRD#: 41848
HARTFORD, CT
Past
June 22, 2020 - October 28, 2020
INTE SECURITIES LLC
BD
CRD#: 47107
BOCA RATON, FL
Past
August 1, 2018 - June 10, 2020
FORESIDE GLOBAL SERVICES, LLC
BD
CRD#: 147382
Jersey City, NJ
Past
February 2, 2016 - June 6, 2018
FDX CAPITAL LLC
BD
CRD#: 119302
NEW YORK, NY
Past
April 27, 2006 - May 4, 2015
THOMAS CAPITAL GROUP, INC.
BD
CRD#: 45180
WEST HARTFORD, CT
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/8/2024)
RR
Alaska(10/8/2024)
RR
Arizona(10/8/2024)
RR
Arkansas(10/8/2024)
RR
California(10/8/2024)
RR
Colorado(10/8/2024)
RR
Connecticut(10/8/2024)
RR
Delaware(10/8/2024)
RR
District of Columbia(10/8/2024)
RR
Florida(10/8/2024)
RR
Georgia(10/8/2024)
RR
Hawaii(10/8/2024)
RR
Idaho(10/8/2024)
RR
Illinois(10/8/2024)
RR
Indiana(10/8/2024)
RR
Iowa(10/8/2024)
RR
Kansas(10/8/2024)
RR
Kentucky(10/8/2024)
RR
Louisiana(10/8/2024)
RR
Maine(10/8/2024)
RR
Maryland(10/8/2024)
RR
Massachusetts(10/8/2024)
RR
Michigan(10/8/2024)
RR
Minnesota(10/8/2024)
RR
Mississippi(10/8/2024)
RR
Missouri(10/8/2024)
RR
Montana(10/8/2024)
RR
Nebraska(10/8/2024)
RR
Nevada(10/8/2024)
RR
New Hampshire(10/8/2024)
RR
New Jersey(10/8/2024)
RR
New Mexico(10/8/2024)
RR
New York(10/8/2024)
RR
North Carolina(10/8/2024)
RR
North Dakota(10/8/2024)
RR
Ohio(10/8/2024)
RR
Oklahoma(10/8/2024)
RR
Oregon(10/8/2024)
RR
Pennsylvania(10/8/2024)
RR
Rhode Island(10/8/2024)
RR
South Carolina(10/8/2024)
RR
South Dakota(10/8/2024)
RR
Tennessee(10/8/2024)
RR
Texas(10/8/2024)
RR
Utah(10/8/2024)
RR
Vermont(10/8/2024)
RR
Virginia(10/8/2024)
RR
Washington(10/8/2024)
RR
West Virginia(10/8/2024)
RR
Wisconsin(10/8/2024)
RR
Wyoming(10/8/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
ES
EASTERLY SECURITIES LLC
EASTERLY SECURITIES LLC | EASTERLY SECURITIES, LLC
CRD#: 281103 / SEC#: , 8-69661
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
138 Conant Street Suite 100, Beverly, MA 01915
Mailing Address
138 Conant Street Suite 100, Beverly, MA 01915
Phone number
(617) 231-4300
Established
Delaware since 07/06/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EASTERLY ASSET MANAGEMENT OPERATIONS LLC | SOLE AND MANAGING MEMBER | |
| JULIANO JR, PHILIP L | CHIEF EXECUTIVE OFFICER | 4781008 |
| JUSTER, KENNETH G | CHIEF LEGAL OFFICER | 4788250 |
| MONTAGUE, MICHAEL | CHIEF FINANCIAL OFFICER | 5121305 |
| SMITH, ELIZABETH ANNE | FINOP | 1960549 |
| SOMERS, DAVID MICHAEL II | CHIEF COMPLIANCE OFFICER | 4413478 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
EASTERLY SECURITIES LLC
CRD#: 281103Beverly, MA 01915TRUST BUT VERIFY
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