Thomas M. England
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.
Thomas Michael England, who also goes by Mike England, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1982. Thomas had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 3, Series 7, Series 26 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2013 - November 18, 2016
EAGLE STRATEGIES LLC
January 25, 2013 - April 19, 2017
NYLIFE SECURITIES LLC
February 9, 2012 - September 6, 2012
ALLSTATE FINANCIAL ADVISORS, LLC
January 23, 2012 - September 6, 2012
ALLSTATE FINANCIAL SERVICES, LLC
October 10, 2002 - January 11, 2011
COREBRIDGE CAPITAL SERVICES, INC.
June 7, 1993 - June 14, 2002
GLOBAL ATLANTIC DISTRIBUTORS, LLC
October 22, 1991 - March 12, 1993
EDWARD JONES
January 2, 1991 - March 6, 1991
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
January 26, 1982 - September 7, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
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 8
Date: 4/1/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
SEC notice filing (51 States and Territories)
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 | ||
| 04/25/2024 | ||
| 12/20/2023 |
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.
