Individual Firm
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CURTIS RICHARD EAKIN III
CURTIS R EAKIN
CRD#: 6186078
IA
B
UBS FINANCIAL SERVICES INC.CRD#: 8174 20 PACIFICA
IRVINE, CA 92618
IRVINE, CA 92618
0
Disclosures
11
Years of Experience
View By:
State Registrations
B
Arizona 7/28/2023
B
Nevada 5/12/2021
B
California 9/3/2020
B
New Mexico 10/4/2023
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California 1/1/2021
B
Texas 5/12/2021
B
Florida 5/12/2021
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Texas 1/18/2023
B
Georgia 4/15/2022
B
Utah 9/26/2024
B
Massachusetts 2/22/2023
SRO Registrations
B
B
B
B
B
B
B
B
B
B
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Registered with this firm since 1/1/2021
B
Registered with this firm since 9/3/2020
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 06/04/2013 - 09/22/2020 | MISSION VIEJO, CA |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.