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CE

Caleb Eby

FORVIS MAZARS CAPITAL ADVISORS
Denver, CO 80202
Some features on this profile are disabled
CRD#: 7137218
CE

Professional summary

Caleb Eby is a registered financial professional currently at FORVIS MAZARS CAPITAL ADVISORS, LLC located in Denver, Colorado.

Caleb is registered as a RR (Registered Representative) and started their career in finance in 2021. Caleb has worked at 3 firms and has passed the Series 63, Series 82TO, Series 79TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Caleb Eby'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®
None

Experience

Current

August 30, 2024 - Present

FORVIS MAZARS CAPITAL ADVISORS, LLC

Office #1: 1801 California Street Suite 2900, Denver, CO 80202
BD
CRD#: 43427
Denver, CO
Past

September 28, 2022 - June 14, 2024

CMD GLOBAL PARTNERS, LLC

BD
CRD#: 306063
CHICAGO, IL
Past

August 20, 2021 - August 2, 2022

D.A. DAVIDSON & CO.

BD
CRD#: 199
DENVER, CO

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
Colorado
(8/30/2024)
RR
Illinois
(8/30/2024)
RR
Missouri
(8/30/2024)
RR
Texas
(8/30/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 8/27/2021
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 82TO
Date: 3/1/2024
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 79TO
Date: 8/20/2021
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/3/2021
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

FM
FORVIS MAZARS CAPITAL ADVISORS, LLC
BKD CAPITAL ADVISORS, LLC | FORVIS MAZARS CAPITAL ADVISORS, LLC | FORVIS CAPITAL ADVISORS, LLC | BKD FINANCIAL L.L.C. | BKD CORPORATE FINANCE, LLC

CRD#: 43427 / SEC#: , 8-50322

BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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Contact information

Main Address
910 East St. Louis Street, Suite 200, Springfield, MO 65806
Mailing Address
P.o. Box 1190, Springfield, MO 65806-2523
Phone number
(417) 865-8701
Established
Missouri since 07/20/1994
Firm type
Limited Liability Company
Fiscal year end
May
Firm Size
Small
# of Employees

FINRA licenses (27 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
FORVIS MAZARS, LLPMEMBER
CORSON, JASON ANDREWCHIEF COMPLIANCE OFFICER4831976
DAVIS, ADAM MICHAELFINOP, CFO, PFO7744026
LINCH, SCOTT EDWARDPRESIDENT7940156

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.

Company Information

FORVIS MAZARS CAPITAL ADVISORS, LLC

CRD#: 43427Denver, CO 80202

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