Oren E. Sullivan
Professional summary
Oren Eugene Sullivan JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Oren is a previously registered financial advisor and started their career in finance in 1982. Prior to being barred, Oren had worked at 2 firms, which includes EAGLE STRATEGIES LLC, NYLIFE SECURITIES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2008 - December 10, 2008
EAGLE STRATEGIES LLC
December 9, 1982 - December 10, 2008
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
State Registrations and Notice Filings
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Exams
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
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