SE
Shaun Eck
REALTA INVESTMENT ADVISORS,
DEER PARK, IL 60047
Some features on this profile are disabled
CRD#: 5574644
SE
Professional summary
Shaun Eck, who also goes by Shaun Peter Eck, is a registered financial advisor currently at REALTA INVESTMENT ADVISORS, INC located in Deer Park, Illinois and REALTA EQUITIES, INC. located in Deer Park, Illinois.
Shaun is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Shaun has worked at 11 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Shaun Peter Eck
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.
(1) Quantas Group, LLC; 21720 W Long Grove Road, Suite C 411 Deer Park, IL 60010; dba for marketing purposes; www.quantas.group; owner; revenue generated by management fees and commissions for transactional business; 40 hours per week during normal trading hours. (2) Realta Investment Advisors, Inc.; 1201 N Orange St Ste 729 Wilmington, DE 19801; Investment Advisory Services; Investment Advisor Representative; www.realtawealth.com; Compensation in the form of fees; 40 hours per week during normal trading hours. (3) Quantus Group, LLC; 21720 W Long Grove Rd, Suite C 411 Deer Park, IL 60010; tax benefits through life insurance products; www.quantasgroup.com; advise on securities that involve tax benefits and refer clients to service providers such as accounting firms; Planning fees; 20 hours per week during normal trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Shaun Eck'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
July 6, 2022 - Present
REALTA INVESTMENT ADVISORS, INC
Office #1: 21720 W Long Grove Road Suite C 411, Deer Park, IL 60047RIA
CRD#: 134952
DEER PARK, IL
Current
July 1, 2022 - Present
REALTA EQUITIES, INC.
Office #1: 21720 W Long Grove Road Suite C-411, Deer Park, IL 60010BD
CRD#: 23769
Deer Park, IL
Past
September 25, 2020 - July 5, 2022
KESTRA PRIVATE WEALTH SERVICES, LLC
RIA
CRD#: 155193
Palatine, IL
Past
September 23, 2020 - July 5, 2022
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
Palatine, IL
Past
October 31, 2017 - September 24, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
DEER PARK, IL
Past
October 30, 2017 - September 24, 2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
DEER PARK, IL
Past
September 8, 2015 - October 30, 2017
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
ROSEMONT, IL
Past
September 2, 2015 - October 30, 2017
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
CHICAGO, IL
Past
December 10, 2013 - September 11, 2015
LPL FINANCIAL LLC
RIA
CRD#: 6413
DUNDEE, IL
Past
December 9, 2013 - September 11, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
DUNDEE, IL
Past
January 16, 2013 - December 13, 2013
FIFTH THIRD SECURITIES, INC.
RIA
CRD#: 628
GURNEE, IL
Past
January 16, 2013 - December 13, 2013
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
GURNEE, IL
Past
March 17, 2011 - January 22, 2013
LPL FINANCIAL LLC
RIA
CRD#: 6413
DUNDEE, IL
Past
March 17, 2011 - January 22, 2013
LPL FINANCIAL LLC
BD
CRD#: 6413
DUNDEE, IL
Past
August 3, 2009 - March 8, 2011
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
MCHENRY, IL
Past
August 3, 2009 - March 8, 2011
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
MCHENRY, IL
Past
June 1, 2009 - July 27, 2009
MORGAN STANLEY
RIA
CRD#: 149777
BARRINGTON, IL
Past
June 1, 2009 - July 27, 2009
MORGAN STANLEY
BD
CRD#: 149777
BARRINGTON, IL
Past
December 11, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
RIA
CRD#: 8209
BARRINGTON, IL
Past
September 26, 2008 - June 1, 2009
MORGAN STANLEY & CO. LLC
BD
CRD#: 8209
BARRINGTON, IL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
RI
REALTA INVESTMENT ADVISORS, INC
BARRACK YARD ADVISORS | YOUNGS FINANCIAL PLANNING & WEALTH MANAGEMENT | WINTHER ASSET MANAGEMENT | WEALTH SOLUTIONS | STAUFFERWILLIAMS ASSET MANAGEMENT | SOMERVILLE INVESTMENTS | REALTA WEALTH | REALTA INVESTMENT ADVISORS, INC | MCLAUGHLIN FINANCIAL GROUP | LEGEND CAPITAL GROUP | IRON VALLEY WEALTH MANAGEMENT | INDEPENDENT WEALTH MANAGEMENT | HR&S FINANCIAL SERVICES | FOUNDRY WEALTH ADVISORS | DONNELLY, MICHAEL | DONNELLY STEEN & COMPANY | DONNELLY ADVISORS GROUP, INC. | DONNELLY ADVISORS GROUP, INC | DIVERSIFIED ASSET MANAGEMENT | COASTAL VALUE PARTNERS | COASTAL INVESTMENT ADVISORS, INC. | COASTAL INVESTMENT ADVISORS | COASTAL ADVISORY GROUP | COASTAL | BLACKBURN CAPITAL MANAGEMENT
CRD#: 134952 / SEC#: 801-68000
RIA
Registered Investment Advisory firm - (6/6/2007 Approved)New Jersey
Registered Investment Advisory firm - (6/11/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (6/27/2007 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alaska(7/1/2022)
RR
Arizona(7/1/2022)
RR
California(7/1/2022)
RR
Connecticut(7/1/2022)
RR
Delaware(10/17/2022)
RR
Florida(7/1/2022)
RR
Georgia(7/1/2022)
IAR
Illinois(7/6/2022)
RR
Illinois(7/11/2022)
RR
Iowa(10/16/2023)
RR
Kansas(4/26/2023)
RR
Maine(7/1/2022)
RR
Maryland(8/9/2024)
RR
Massachusetts(7/1/2022)
RR
Michigan(7/1/2022)
RR
Missouri(7/1/2022)
RR
Nebraska(7/13/2022)
RR
Nevada(7/1/2022)
RR
New Jersey(11/20/2024)
RR
North Carolina(12/23/2024)
RR
Pennsylvania(7/1/2022)
RR
South Carolina(7/1/2022)
RR
Texas(7/1/2022)
IAR
Texas(8/2/2022)
RR
Utah(10/13/2022)
RR
Virginia(7/1/2022)
RR
Washington(11/20/2024)
RR
Wisconsin(7/1/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RI
REALTA INVESTMENT ADVISORS, INC
BARRACK YARD ADVISORS | YOUNGS FINANCIAL PLANNING & WEALTH MANAGEMENT | WINTHER ASSET MANAGEMENT | WEALTH SOLUTIONS | STAUFFERWILLIAMS ASSET MANAGEMENT | SOMERVILLE INVESTMENTS | REALTA WEALTH | REALTA INVESTMENT ADVISORS, INC | MCLAUGHLIN FINANCIAL GROUP | LEGEND CAPITAL GROUP | IRON VALLEY WEALTH MANAGEMENT | INDEPENDENT WEALTH MANAGEMENT | HR&S FINANCIAL SERVICES | FOUNDRY WEALTH ADVISORS | DONNELLY, MICHAEL | DONNELLY STEEN & COMPANY | DONNELLY ADVISORS GROUP, INC. | DONNELLY ADVISORS GROUP, INC | DIVERSIFIED ASSET MANAGEMENT | COASTAL VALUE PARTNERS | COASTAL INVESTMENT ADVISORS, INC. | COASTAL INVESTMENT ADVISORS | COASTAL ADVISORY GROUP | COASTAL | BLACKBURN CAPITAL MANAGEMENT
CRD#: 134952 / SEC#: 801-68000
RIA
Registered Investment Advisory firm - (6/6/2007 Approved)New Jersey
Registered Investment Advisory firm - (6/11/2007 Terminated)Pennsylvania
Registered Investment Advisory firm - (6/27/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1201 N. Orange Street Suite 729, Wilmington, DE 19801
Mailing Address
Phone number
(888) 657-5200
Established
Firm type
Fiscal year end
# of Employees
64
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,958 |
| AUM (Assets Under Management) | $ 343,465,487 |
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.
