GB
Gary T. Baumgarten
EAGLE STRATEGIES LLC
WINTER PARK, FL 32789
Some features on this profile are disabled
CRD#: 1112331
GB
Professional summary
Gary Todd Baumgarten is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Winter Park, Florida and NYLIFE SECURITIES LLC located in Winter Park, Florida.
Gary is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Gary has worked at 2 firms and has passed the Series 63, Series 65, SIE, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
[INSURANCE BROKERING; APPOINTED WITH VARIOUS OUTSIDE INSURANCE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED PRODUCTS; INVESTMENT RELATED; DBA - BAUMGARTEN FINANCIAL, LLC; START DATE 12/2004] [PERSONAL MINI STORAGE, ST. CLOUD LLC; PRIVATE INVESTOR; NO TIME DEVOTED; START DATE 12/2002] [YELLOW BUTTERFLY INVESTMENTS LLLP; 50% CO-TRUSTEE OF YELLOW BUTTERFLY INVESTMENT LLLP WITH MY SPOUSE. THIS ENTITY IS SET UP FOR ESTATE PLANNING AND RETITLING OF ASSETS WHICH INCLUDES CASH, SECURITIES AND A PREVIOUSLY APPROVED OBA FOR PERSONAL MINI STORAGE] [NYLARC Holding Company, Inc.; Reinsuring the life insurance that I write with New York Life; 51 Madison Avenue, New York, NY 10010; Start Date 03/1995; Role/Title: Shareholder; Investment Related; 1 hours per month; 1 hours per month during securities trading hours] [ONE FLORIDA BANK, INC.; BANKING; 3660 MAGUIRE BLVD, SUITE 250, ORLANDO, FL 32803; Start Date 05/2019; Role/Title: Investor; Investment Related; 0 hours per month; 0 hours per month during securities trading hours] [BLUE HALO BIOMEDICAL LLC; THE COMPANY'S OBJECTIVE IS TO SIMPLIFY THE OPERATION OF CATHETERS AND RELATED HEALTHCARE DELIVERY MECHANISMS.; 2961 SANCTUARY CIRCLE, LAKELAND, FL 33803; Start Date 10/2019; Role/Title: Investor; Not Investment Related; 0 hours per month; 0 hours per month during securities trading hours] [FIRST WAVE RESTAURANT LLC ; DBA GALIT. Chef-driven Middle Eastern eatery with regular & sharing menus & creative cocktails in hip digs.; 2429 N LINCOLN AVE, CHICAGO, IL 60614; Start Date 11/2018; Role/Title: Investor; Not Investment Related; 0 hours per month; 0 hours per month during securities trading hours] [TAYLOR MADE LENDING LLC; Taylor Made Lending is a Florida Licensed Private Lender and Loan Servicing Company. A family-owned company. ; 1400 EAST OAKLAND PARK BLVD #103, FT. LAUDERDALE, FL 33334; Start Date 10/2010; Role/Title: Investor; Investment Related; 0 hours per month; 0 hours per month during securities trading hours; PASSIVE INVESTOR ONLY. NO PARTICIPATION IN DAY-TO-DAY BUSINESS MANAGEMENT.] [SKYMARK COVENTRY LLC; THIS BUSINESS IS INVOLVED IN BUILDING COVENTRY SQUARE APARTMENTS LOCATED IN SALISBURY, MARYLAND.; 1400 EAST OAKLAND PARK BLVD #103, FT. LAUDERDALE, FL 33334; Start Date 07/2018; Role/Title: Investor; Investment Related; 0 hours per month; 0 hours per month during securities trading hours; THE ENTITY EXPECTS TO SHARE REVENUE WITH ALL PASSIVE INVESTORS. NO DISTRIBUTIONS HAVE BEEN MADE AS OF YET.] [YB2 LLC; YB2 LLC IS THE ENTITY I USE TO FUND AND OWN CERTAIN PASSIVE INVESTMENTS. YELLOW BUTTERFLY INVESTMENTS, LLLP (CONSISTING OF THE GARY T BAUMGARTEN FAMILY TRUST AND THE DANA M. BAUMGARTEN FAMILY TRUST, GENERAL PARTNERS) IS THE SOLE MEMBER OF THE ENTITY.; 230 W READING WAY, WINTER PARK, FL 32789; Start Date 11/2012; Role/Title: Member; Investment Related; 0 hours per month; 0 hours per month during securities trading hours] [Second Wave Restaurant, LLC; The Restaurant will be a full service restaurant and bar in the Lincoln Park neighborhood of Chicago; NORTH LINCOLN AVENUE, CHICAGO, IL; Start Date 08/2023; Role/Title: Investor; Not Investment Related; 0 hours per month; 0 hours per month during securities trading hours; passive investor only]
CRS (Client Relationship Summary) - RIA
Click below to view Gary Todd Baumgarten's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 19, 2001 - Present
EAGLE STRATEGIES LLC
Office #1: 147 E Lyman Ave Ste, Winter Park, FL 32789RIA
CRD#: 110826
WINTER PARK, FL
Current
May 23, 1983 - Present
NYLIFE SECURITIES LLC
Office #1: 147 E Lyman Ave Ste E, Winter Park, FL 32789BD
CRD#: 5167
Winter Park, FL
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".
ES
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/26/2024)
RR
California(3/20/2015)
RR
Florida(4/30/1984)
IAR
Florida(4/19/2001)
RR
Maryland(7/8/2025)
RR
New Jersey(10/23/2018)
RR
New York(3/14/2022)
RR
Pennsylvania(9/16/2024)
RR
Virginia(7/23/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
ES
EAGLE STRATEGIES LLC
EAGLE STRATEGIES CORP | EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
RIA
Registered Investment Advisory firm - (10/14/1988 Approved)Upgrade to AdvisorCheck Premium
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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)
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.
