Arthur R. Eads
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.
Arthur Raymond Eads JR was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1983. Arthur had worked at 7 firms and has passed the Series 63, Series 7, Series 6, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 19, 2008 - December 31, 2013
KMS FINANCIAL SERVICES, INC.
March 17, 2003 - December 31, 2013
KMS FINANCIAL SERVICES, INC.
June 15, 2000 - March 19, 2003
ASSOCIATED SECURITIES CORP.
June 9, 1999 - November 19, 2019
WEALTH MANAGEMENT NORTHWEST, INC.
March 16, 1988 - July 19, 2000
PACIFIC HARBOR SECURITIES, INC.
July 31, 1987 - May 5, 1988
CIBC WORLD MARKETS CORP.
May 30, 1984 - August 6, 1987
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 8, 1983 - July 3, 1984
MONEY CONCEPTS CAPITAL CORP
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: 12/14/1976
Registered Representative ExaminationCurrent Firm
KMS FINANCIAL SERVICES, INC.
CRD#: 3866 / SEC#: 801-11375, 8-15433
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVISOR GROUP HOLDINGS, INC. | SHAREHOLDER | |
| BRETON, BERNARD ANDRE | CHIEF COMPLIANCE OFFICER | 2030660 |
| FORD, ERINN JUNE | PRESIDENT & CEO | 2176816 |
| HARRINGTON, LINDA LEE | VICE PRESIDENT OF ADVISORY COMPLIANCE | 4173014 |
| SIMS, JEFFREY SCOTT | CFO, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3247374 |
| ZELLERHOFF, MARK CHRISTOPHER | SENIOR VICE PRESIDENT OF OPERATIONS | 2853977 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 3 |
| Bond | 2 |
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.
