Marie E. 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.
Marie Elaine Eaton was a registered financial professional .
Marie is a previously registered financial professional and started their career in finance in 1971. Marie had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 15, Series 5, Series 000, Series 1, Series 14, Series 53, Series 8, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 25, 2013 - December 5, 2017
D.A. DAVIDSON & CO.
November 25, 2013 - December 5, 2017
D.A. DAVIDSON & CO.
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
November 4, 2013 - November 25, 2013
CROWELL WEEDON & CO.
June 3, 2010 - November 4, 2013
CROWELL, WEEDON & CO.
February 13, 2008 - November 4, 2013
CROWELL, WEEDON & CO.
October 20, 2005 - August 8, 2007
UBS FINANCIAL SERVICES INC.
October 20, 2005 - August 8, 2007
UBS FINANCIAL SERVICES INC.
August 11, 1989 - August 17, 1990
MORGAN, OLMSTEAD, KENNEDY & GARDNER INCORPORATED
November 12, 1980 - June 16, 1999
WEDBUSH SECURITIES INC.
September 11, 1980 - October 27, 2005
WEDBUSH SECURITIES INC.
January 31, 1980 - August 25, 1980
UBS FINANCIAL SERVICES INC.
August 10, 1978 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
June 22, 1976 - August 23, 1978
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
August 23, 1971 - July 5, 1974
LOEWI & CO., INCORPORATED
Primary Firm SEC Registration
D.A. DAVIDSON & CO.
CRD#: 199 / SEC#: 801-45761, 8-2399
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 55
Date: 4/25/2005
Limited Representative-Equity Trader ExamSeries 15
Date: 6/5/1984
Foreign Currency Options ExaminationSeries 5
Date: 10/12/1981
Interest Rate Options ExaminationSeries 000
Date: 9/13/1971
General Securities Principal ExaminationSeries 1
Date: 8/13/1971
Registered Representative ExaminationSeries 8
Date: 1/16/1985
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
D.A. DAVIDSON & CO.
CRD#: 199 / SEC#: 801-45761, 8-2399
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| D.A. DAVIDSON COMPANIES | HOLDING COMPANY | |
| BEAUPREZ, JACQUELINE ANN | SVP, GENERAL COUNSEL | 4075012 |
| CRONK, JAMES LEE | PRINCIPAL OPERATIONS OFFICER | 1104799 |
| DISPENSE, MARC RUSSELL | PRESIDENT, FIXED INCOME CAPITAL MARKETS | 4655410 |
| MARTINEZ, LAWRENCE TODD | CHARIMAN AND CEO, D.A. DAVIDSON COMPANIES, DIRECTOR | 4596308 |
| MCCUBBIN, JARED C | SVP, CHIEF COMPLIANCE OFFICER | 4969077 |
| MCKINNEY, RORY ADAM | PRESIDENT, EQUITY CAPITAL MARKETS | 4735577 |
| PURPURA, MICHAEL JOSEPH | PRESIDENT, WEALTH MANAGEMENT, DIRECTOR | 2095576 |
| ZADICK, JUSTINE MILNE | PRINCIPAL FINANCIAL OFFICER | 6452559 |
Regulatory assets under management
| Total Number of Accounts | 86,818 |
| AUM (Assets Under Management) | $ 36,175,333,459 |
Disclosures
| Regulatory Event | 41 |
| Arbitration | 7 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/13/2025 | ||
| 09/27/2024 | ||
| 11/13/2023 | ||
| 12/22/2022 |
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.
