Role at Parallel Advisors
- Registration
- Investment adviser representative, through Parallel Advisors, LLC since 1 July 2026
- Officer or owner
- Douglas Eaton is not listed among Parallel Advisors’ executive officers or direct owners.
The firm
Form ADV filed 29 June 2026
Career on record
Douglas Eaton has been registered through Parallel Advisors since July 2026, and before that through Eaton Financial Group, Sorrento Pacific Financial, Fiduciary Planning, First Allied Securities, First Allied Advisory Services, National Planning Corporation ("npc Of America" In Fl & Ny), National Planning Corporation, AXA Advisors, AXA Advisors, The Equitable Life Assurance Society Of The United States and Nylife Securities.
- Parallel Advisors, LLCCurrent– present · under a yearCoral Springs, FL · Adviser representative · Firm CRD 140800
- Passed Series 99TO · 2023
- Eaton Financial Group– · 5 yearsCoral Springs, FL · Adviser representative · Firm CRD 316323
- Sorrento Pacific Financial, LLC– · 4 yearsCoral Springs, FL · Adviser representative and broker · Firm CRD 127787
- Fiduciary Planning, LLC– · 2 yearsEnglewood, FL · Adviser representative · Firm CRD 304104
- Passed SIE · 2018
- First Allied Securities, Inc.– · 7 yearsCoral Springs, FL · Adviser representative and broker · Firm CRD 32444
- First Allied Advisory Services, Inc.– · 7 yearsCoral Springs, FL · Adviser representative · Firm CRD 137888
- National Planning Corporation ("npc Of America" In Fl & Ny)– · 9 yearsNew York, NY · Adviser representative · Firm CRD 29604
- National Planning Corporation– · 9 yearsNew York, NY · Adviser representative and broker · Firm CRD 29604
- AXA Advisors, LLC– · 2 yearsNew York, NY · Adviser representative · Firm CRD 6627
- Passed Series 24 · 2000
- Passed Series 65 and Series 7 · 1999
- AXA Advisors, LLC– · 5 yearsNew York, NY · Adviser representative and broker · Firm CRD 6627
- The Equitable Life Assurance Society Of The United States– · 1 yearNew York, NY · Adviser representative and broker · Firm CRD 4039
- Nylife Securities Inc.– · 1 yearNew York, NY · Adviser representative and broker · Firm CRD 5167
- Passed Series 63 and Series 6 · 1997
Registrations and exams
Douglas Eaton is registered as an investment adviser representative in Florida and Texas and has passed 7 qualifying exams.
| State | Scope | Status | Since |
|---|---|---|---|
| Florida | Investment adviser representative | Approved | 5 August 2026 |
| Texas | Investment adviser representative | Approved | 1 July 2026 |
- Scope
- Investment adviser representative
- Status
- Approved
- Scope
- Investment adviser representative
- Status
- Approved
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 28 May 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 11 June 1997 |
| Series 24 | General Securities Principal Examination | 16 December 2000 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | 1 October 2018 |
| Series 7 | General Securities Representative Examination | 14 October 1999 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 11 June 1997 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Principal Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
Adviser record
- Full name
- Douglas Jay Eaton
- CRD
- 2780814
- Registered in
- Florida, Texas
- Office
- 11555 Heron Bay Boulevard, Suite 200, Coral Springs, FL 33076
This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov
Common questions
Where does Douglas Eaton work?
Douglas Eaton is an investment adviser representative registered through Parallel Advisors, LLC since July 2026, and is not listed among the firm’s executive officers or direct owners.
Is Douglas Eaton a financial advisor?
Yes. Douglas Eaton is registered as an investment adviser representative in Florida and Texas, through Parallel Advisors since July 2026, as of 14 October 2026.
How many years of experience does Douglas Eaton have?
Douglas Eaton has worked in the financial industry for 29 years as of 14 October 2026, counted from 20 June 1997, across 12 adviser firms.
What exams has Douglas Eaton passed?
Douglas Eaton has passed 7 licensing exams: the Series 63, Series 6, Series 65, Series 7, Series 24, SIE and Series 99TO. The earliest, the Series 63, was passed in June 1997.
Where did Douglas Eaton work before Parallel Advisors?
Before Parallel Advisors, Douglas Eaton was registered through Eaton Financial Group, November 2021 to August 2026; Sorrento Pacific Financial, LLC, October 2019 to October 2023; Fiduciary Planning, LLC, September 2019 to December 2021; First Allied Securities, Inc., November 2012 to September 2019; First Allied Advisory Services, Inc., November 2012 to September 2019; National Planning Corporation ("npc Of America" In Fl & Ny), May 2004 to November 2012; National Planning Corporation, April 2004 to November 2012; AXA Advisors, LLC, August 2002 to April 2004; AXA Advisors, LLC, November 1998 to April 2004; The Equitable Life Assurance Society Of The United States, November 1998 to January 2000; Nylife Securities Inc., June 1997 to November 1998.
Where is Douglas Eaton based?
Douglas Eaton’s registered office is in Coral Springs, FL.
Leadership at Parallel Advisors
Jerry RendicChief Executive Officer
Diane GabianelliChief Financial Officer
Sangeetha SrinivasanChief Compliance Officer- Daniel HaspelElected Manager
Jacob SchuttChief Wealth Officer