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Robert Sanford Eastham

CRD# 717090·Registered 1980 - 2004
Previously Registered: Being a previously registered professional could mean that Robert is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Robert Sanford Eastham, who also goes by Robert Sandy Eastham, Sandy Eastham, was a registered financial advisor. Robert was a previously registered financial advisor and started their career in finance 1980 - 2004. Robert had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Robert Sandy Eastham, Sandy Eastham

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

46 years in the financial services industry

Current & Past Employments

ROBERT S. EASTHAM, REGISTERED INVESTMENT ADVISOR·CRD# 114711
RIA
Austin, TX
January 6, 2004 - January 6, 2004
WFG INVESTMENTS, INC.·CRD# 22704
BD
Dallas, TX
June 23, 1995 - January 2, 2002
SIGNAL SECURITIES, INC.·CRD# 15916
BD
Fort Worth, TX
June 4, 1991 - April 27, 1995
PRUDENTIAL EQUITY GROUP, LLC·CRD# 7471
BD
New York, NY
August 19, 1987 - September 14, 1990
MORGAN STANLEY DW INC.·CRD# 7556
BD
November 24, 1982 - September 3, 1987
AMERICAN EXPRESS FINANCIAL CORPORATION·CRD# 6320
BD
October 3, 1980 - September 14, 1982
AMERIPRISE FINANCIAL SERVICES, LLC·CRD# 6363
BD
October 3, 1980 - September 14, 1982
IDS LIFE INSURANCE COMPANY·CRD# 6321
BD
October 3, 1980 - September 14, 1982

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Current Firm

No current employment

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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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Sep 1997About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Dec 1982About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Nov 1982About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Sep 1980About the Series 6 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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