Earl R. Eastman
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.
Earl Robb Eastman was a registered financial professional .
Earl is a previously registered financial professional and started their career in finance in 1977. Earl had worked at 8 firms and has passed the Series 63, Series 7 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2001 - September 18, 2006
KESTRA INVESTMENT SERVICES, LLC
October 6, 1995 - February 15, 2001
MUTUAL SERVICE CORPORATION
January 6, 1994 - October 13, 1995
SECURITIES AMERICA, INC.
April 16, 1993 - December 31, 1993
MUTUAL SERVICE CORPORATION
April 1, 1992 - April 27, 1993
THE O.N. EQUITY SALES COMPANY
November 19, 1989 - April 1, 1992
OSAIC WEALTH, INC.
January 12, 1984 - May 2, 1984
FSC SECURITIES CORPORATION
August 2, 1983 - June 14, 1985
G. R. PHELPS & CO., INC.
February 14, 1983 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
August 1, 1977 - February 16, 1983
G. R. PHELPS & CO., INC.
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: 7/22/1977
Registered Representative ExaminationCurrent Firm
KESTRA INVESTMENT SERVICES, LLC
CRD#: 42046 / SEC#: , 8-49672
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KESTRA FINANCIAL, INC | SOLE MEMBER | |
| AMORE, JOHN VINCENT | PRESIDENT | 5430932 |
| CHESTER, KRISTEN LAWLESS | CHIEF OPERATING OFFICER, EXECUTIVE VICE PRESIDENT | 6896952 |
| KANT, VINAY | CHIEF DIGITAL TECHNOLOGY OFFICER | 7976827 |
| PEDLOW, MICHAEL ROSS | CHIEF COMPLIANCE OFFICER, EXECUTIVE VICE PRESIDENT | 4871563 |
| POER, JAMES LYNN | CHIEF EXECUTIVE OFFICER | 1983357 |
| SCHOENBECK, MARK PAUL | EXECUTIVE VICE PRESIDENT | 2625829 |
| YIN, YIN | CONTROLLER | 3219513 |
| ZEGERS, SCOTT MATTHEW | CHIEF FINANCIAL OFFICER | 4831659 |
Disclosures
| Regulatory Event | 14 |
| Arbitration | 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.
