James P. Eaton
Professional summary
Being a previously registered professional could mean that this person 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.
James Patrick Eaton was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1974. James had worked at 4 firms and has passed the Series 1 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 7, 1995 - December 14, 2001
TDI, INCORPORATED
September 12, 1992 - December 30, 1994
THE TRADING DESK, INC.
June 28, 1982 - April 13, 1992
WS GRIFFITH SECURITIES, INC.
March 26, 1974 - April 13, 1992
HOME LIFE INSURANCE COMPANY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 3/21/1974
Registered Representative ExaminationCurrent Firm
TDI, INCORPORATED
CRD#: 30629 / SEC#: , 8-45046
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MANNING, JERRY WAYNE | CEO AND FINANCIAL PRINCIPAL | 848596 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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