Robert D. Eddy

EDDY FINANCIAL

Santa Monica, CA 90401

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CRD#: 603372

Professional summary

Robert Devereux Eddy JR, CFP® is a registered financial advisor currently at EDDY FINANCIAL, LLC located in Santa Monica, California.

Robert is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1978. Robert has worked at 5 firms and has passed the Series 63, SIE, Series 31, Series 1 and Series 40 exams.

Question & Answer

What are your service offerings?

Retirement Planning

Long-term Care

Insurance Planning

Investment Planning

Business Succession Planning

Comprehensive Financial Planni...

Estate Planning

How do you get paid?

Commission and Fee

Are you a "fiduciary"?

Yes

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Devereux Eddy JR'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®

CFP^®

Certified Financial Planner

Start date: 1986

Experience

Current

November 13, 2017 - Present

EDDY FINANCIAL, LLC

Office #1: 100 Wilshire Blvd, Suite 700, Santa Monica, CA 90401

RIA

CRD#: 290208

Santa Monica, CA

Past

June 4, 2012 - November 14, 2017

CAPITAL ANALYSTS

RIA

CRD#: 162200

WOODLAND HILLS, CA

Past

June 1, 2012 - November 14, 2017

LINCOLN INVESTMENT

RIA

CRD#: 519

WOODLAND HILLS, CA

Past

June 1, 2012 - November 14, 2017

LINCOLN INVESTMENT

CRD#: 519

WOODLAND HILLS, CA

Past

October 13, 1999 - June 1, 2012

CINCINNATI ANALYSTS, INC.

RIA

CRD#: 5478

WOODLAND HILLS, CA

Past

August 12, 1997 - June 1, 2012

CINCINNATI ANALYSTS, INC.

CRD#: 5478

WOODLAND HILLS, CA

Past

June 26, 1978 - September 4, 1997

JOHN HANCOCK DISTRIBUTORS LLC

CRD#: 5249

BOSTON, MA

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.

Highlighted states indicate IAR registrations

IAR

California
(11/13/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 3/26/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/14/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/17/2002

Futures Managed Funds Examination

General Industry/Product Exam

Series 1

Date: 9/9/1969

Registered Representative Examination

Principal/Supervisory Exam

Series 40

Date: 6/23/1978

Registered Principal Examination

Current Firm

EDDY FINANCIAL, LLC

AESM LLC | EDDY FINANCIAL, LLC

CRD#: 290208 / SEC#: 801-112010

RIA

Registered Investment Advisory firm - (2/16/2018 Terminated)

California

Registered Investment Advisory firm - (2/15/2018 Approved)

Louisiana

Registered Investment Advisory firm - (3/25/2022 Terminated)

Texas

Registered Investment Advisory firm - (2/16/2018 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

100 Wilshire Boulevard Suite 700, Santa Monica, CA 90401

Mailing Address

Phone number

(310) 451-3339

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	100
AUM (Assets Under Management)	$ 53,682,000

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Robert D. Eddy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Robert Devereux Eddy JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAPITAL ANALYSTS

LINCOLN INVESTMENT

LINCOLN INVESTMENT

CINCINNATI ANALYSTS, INC.

CINCINNATI ANALYSTS, INC.

JOHN HANCOCK DISTRIBUTORS LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/26/1984

SIE

Date: 11/14/2017

Series 31

Date: 12/17/2002

Series 1

Date: 9/9/1969

Series 40

Date: 6/23/1978

Current Firm

EDDY FINANCIAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

EDDY FINANCIAL, LLC

TRUST BUT VERIFY

Contact information

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