James P. Kolf

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CRD#: 1015682

Professional summary

James Paul Kolf was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial professional and started their career in finance in 1981. Prior to being barred, James had worked at 6 firms, which includes EAGLE STRATEGIES LLC, NYLIFE SECURITIES LLC, MSI FINANCIAL SERVICES INC., NEW ENGLAND SECURITIES, SIGNATOR INVESTORS INC., JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 7, 2016 - August 31, 2016

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

MADISON, WI

Past

May 25, 2016 - August 31, 2016

NYLIFE SECURITIES LLC

CRD#: 5167

MADISON, WI

Past

January 2, 2015 - May 10, 2016

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

MIDDLETON, WI

Past

January 2, 2015 - May 10, 2016

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

MIDDLETON, WI

Past

November 2, 2009 - January 2, 2015

NEW ENGLAND SECURITIES

RIA

CRD#: 615

MIDDLETON, WI

Past

September 28, 2009 - January 2, 2015

NEW ENGLAND SECURITIES

CRD#: 615

MIDDLETON, WI

Past

January 21, 2009 - October 2, 2009

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

MADISON, WI

Past

November 26, 1981 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

CRD#: 5181

BOSTON, MA

Past

November 26, 1981 - October 2, 2009

SIGNATOR INVESTORS, INC.

CRD#: 468

MADISON, WI

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EAGLE STRATEGIES LLC

EAGLE STRATEGIES CORP | EAGLE STRATEGIES LLC

CRD#: 110826 / SEC#: 801-32987

RIA

Registered Investment Advisory firm - (10/14/1988 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/17/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/18/1982

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/31/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/10/1998

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 6/16/1989

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 11/6/1981

Investment Company Products/Variable Contracts Representative Examination

Current Firm

EAGLE STRATEGIES LLC

EAGLE STRATEGIES CORP | EAGLE STRATEGIES LLC

CRD#: 110826 / SEC#: 801-32987

RIA

Registered Investment Advisory firm - (10/14/1988 Approved)

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Contact information

Main Address

51 Madison Avenue 12th Floor, New York, NY 10010

Mailing Address

51 Madison Avenue Floor 3b, Room 0304, New York, NY 10010

Phone number

(888) 695-3245

Established

Firm type

Fiscal year end

# of Employees

2,804

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APPENDIX 1 DISCLOSURE BROCHURE (11/11/2025)

EAGLE STRATEGIES DISCLOSURE BROCHURE (10/23/2025)

Regulatory assets under management

Total Number of Accounts	111,361
AUM (Assets Under Management)	$ 25,395,380,570

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/24/2025	Cover Page	Report
04/25/2024	Cover Page	Report
12/20/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Firm Stability Insights

James P. Kolf

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NYLIFE SECURITIES LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

SIGNATOR INVESTORS, INC.

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

EAGLE STRATEGIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/17/1998

Series 63

Date: 1/18/1982

SIE

Date: 8/31/2016

Series 7

Date: 11/10/1998

Series 22

Date: 6/16/1989

Series 6

Date: 11/6/1981

Current Firm

EAGLE STRATEGIES LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EAGLE STRATEGIES LLC

TRUST BUT VERIFY

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