ME
Michael C. Eaton
LLOYDS SECURITIES
New York, NY 10036
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CRD#: 5687716
ME
Professional summary
Michael Charles Eaton, who also goes by Michael C Eaton, Michael Charles Eaton, is a registered financial professional currently at LLOYDS SECURITIES located in New York, New York.
Michael is registered as a RR (Registered Representative) and started their career in finance in 2011. Michael has worked at 5 firms and has passed the Series 63, Series 6TO, Series 99TO, Series 22TO, Series 82TO, SIE, Series 7 and Series 79 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Michael C Eaton | Michael Charles Eaton
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 Michael Charles Eaton'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
April 14, 2025 - Present
LLOYDS SECURITIES
Office #1: 1095 Avenue Of The Americas, New York, NY 10036BD
CRD#: 154515
New York, NY
Past
March 29, 2022 - March 27, 2025
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
New York, NY
Past
May 7, 2019 - October 1, 2021
MUFG SECURITIES AMERICAS INC.
BD
CRD#: 19685
NEW YORK, NY
Past
June 19, 2017 - May 28, 2019
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
March 28, 2016 - April 26, 2017
SMBC NIKKO SECURITIES AMERICA, INC.
BD
CRD#: 28602
NEW YORK, NY
Past
December 23, 2011 - November 11, 2015
WELLS FARGO SECURITIES, LLC
BD
CRD#: 126292
CHARLOTTE, NC
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(6/12/2025)
RR
Alaska(4/14/2025)
RR
Arizona(4/14/2025)
RR
California(4/14/2025)
RR
Colorado(4/25/2025)
RR
Connecticut(6/18/2025)
RR
Delaware(5/8/2025)
RR
Florida(4/14/2025)
RR
Georgia(4/14/2025)
RR
Hawaii(6/13/2025)
RR
Idaho(4/29/2025)
RR
Illinois(4/14/2025)
RR
Indiana(7/28/2025)
RR
Iowa(4/14/2025)
RR
Kansas(4/14/2025)
RR
Kentucky(4/17/2025)
RR
Louisiana(4/14/2025)
RR
Maine(4/14/2025)
RR
Maryland(4/21/2025)
RR
Massachusetts(7/30/2025)
RR
Michigan(4/15/2025)
RR
Minnesota(7/23/2025)
RR
Mississippi(4/30/2025)
RR
Missouri(6/27/2025)
RR
Montana(4/18/2025)
RR
Nebraska(4/14/2025)
RR
Nevada(4/14/2025)
RR
New Hampshire(5/29/2025)
RR
New Jersey(4/14/2025)
RR
New York(4/14/2025)
RR
North Carolina(4/15/2025)
RR
Ohio(4/14/2025)
RR
Oklahoma(4/14/2025)
RR
Oregon(4/14/2025)
RR
Pennsylvania(4/14/2025)
RR
Rhode Island(4/14/2025)
RR
South Carolina(4/14/2025)
RR
South Dakota(4/14/2025)
RR
Tennessee(5/22/2025)
RR
Texas(4/14/2025)
RR
Utah(4/15/2025)
RR
Virginia(4/14/2025)
RR
Washington(5/19/2025)
RR
West Virginia(5/1/2025)
RR
Wisconsin(4/14/2025)
RR
Wyoming(4/14/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationGeneral Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LS
LLOYDS SECURITIES
LLOYDS SECURITIES | LLOYDS SECURITIES INC.
CRD#: 154515 / SEC#: , 8-68647
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
1095 Avenue Of The Americas, New York, NY 10036
Mailing Address
1095 Avenue Of The Americas, New York, NY 10036
Phone number
(212) 450-0800
Established
Delaware since 03/11/2010
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LLOYDS AMERICA SECURITIES CORPORATION | SHAREHOLDER-COMMON STOCK | |
| CRAWFORD, SUSAN ADELAIDE | HEAD OF RISK | 7415877 |
| FALLAN, WESLEY ROBERT | PRESIDENT OF LLOYDS SECURITIES | 6313069 |
| HOUGHTON, ROSS ANDREW | CHIEF FINANCIAL OFFICER, NA | 6493863 |
| MANSFIELD, WILLIAM RENICK JR | CEO AND COUNTRY HEAD, LLOYDS BANK CORPORATE MARKETS, NORTH AMERICA | 1398078 |
| NADEL, MITCHELL NEIL | HEAD OF FINANCIAL MARKETS | 6157639 |
| ROWLANDS, MARK KEITH | PRINCIPAL FINANCIAL OFFICER & TREASURER | 6601550 |
| SMITH, KELVINA MONIQUE | CHIEF LEGAL OFFICER, LSI | 7419693 |
| STEINBERG, MICHAEL NMN | CHIEF COMPLIANCE OFFICER | 1062776 |
| TRYPHONIDES, NICHOLAS | PRINCIPAL OPERATIONS OFFICER (POO), SECRETARY | 6446246 |
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.
