MR
Michael A. Rudolph
EAGLE STRATEGIES LLC
OXFORD, OH 45056
Some features on this profile are disabled
CRD#: 1199955
MR
Professional summary
Michael Alan Rudolph is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Oxford, Ohio and NYLIFE SECURITIES LLC located in Oxford, Ohio.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Michael has worked at 5 firms and has passed the Series 63, 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.
[KIWANIS CLUB OF OXFORD, OHIO; ROLE/TITLE: OFFICER; SERVE AS PRESIDENT OF THE LOCAL CLUB AND SIT ON THE BOARD OF DIRECTORS; NON INVESTMENT RELATED; START DATE 9/2002] [APPOINTED WITH OUTSIDE INSURANCE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS; 5995 Fairfield Road, Suite 1, Oxford, OH 45056; Start Date 06/2020; Role/Title: Owner; Investment Related; 8 hours per month; 8 hours per month during securities trading hours] [Rudolph Financial Advisors; This name is used for payroll/tax purposes and checking account only. I market myself to the general public as New York Life / Eagle Strategies LLC.; 5995 Fairfield Road, Suite 1 Oxford, Ohio 45056; Start Date 06/2020; Role/Title: Owner; Not Investment Related; 1 hours per month; 1 hours per month during securities trading hours;make sure that payroll tax reports are filed by our CPA, pay the payroll taxes and maintain the checking account] [South Farm Homeowners Association; I have taken a position as President and Board member of the Association.; 200 Morgan Circle Oxford, Ohio 45056; Start Date 05/2021; Role/Title: Officer; Not Investment Related; 2 hours per month; 0 hours per month during securities trading hours;oversee the functioning of the board and coordinate our meetings and events] [Ohio District Kiwanis Foundation; Our mission is to raise, manage, and distribute funds to support programs of Ohio District Kiwanis family organizations for the improvement of the lives of children and families.; P.O. Box 668 Circleville, Ohio 43113; Start Date 10/2022; Role/Title: Board Member; Investment Related; 2 hours per month; 0 hours per month during securities trading hours;Board member who will participate on the marketing and grants committees where I will help to promote the opportunities for grants to the Kiwanis Clubs in Ohio, as well as review the request for grants from the local Kiwanis Clubs] [NAIFA - NAtional association of Insurance and Financial Advisors; Advocate for the Insurance and Financial Services industry; 2901 Telestar Court Falls Church, VA 22042; Start Date 06/2023; Role/Title: Board Member; Investment Related; 3 hours per month; 3 hours per month during securities trading hours] [Oklahoma Oil Well; 1/45th share in an oil well in Roger Mills Oklahoma.; Oklahoma Mineral Owner Registry P.O. Box 13550 Oklahoma City, OK 73113; Start Date 05/2024; Role/Title: Investor; Investment Related; 0 hours per month; 0 hours per month during securities trading hours][Oxford Presbyterian Church; Local congregation of the Presbyterian Church. I will be a member of the Session as a Ruling Elder.; 101 North Main Street, Oxford, Ohio, 45056; Start Date 01/2025; Role/Title: Board Member; Not Investment Related; 4 hours per month; 0 hours per month during securities trading hours; Attend a Session meeting once a month to review staffing issues, congregational care issues, budget and stewardship issues]
CRS (Client Relationship Summary) - RIA
Click below to view Michael Alan Rudolph'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
February 8, 2001 - Present
EAGLE STRATEGIES LLC
Office #1: 5995 Fairfield Road Suite 1, Oxford, OH 45056RIA
CRD#: 110826
OXFORD, OH
Current
February 27, 1997 - Present
NYLIFE SECURITIES LLC
Office #1: 5995 Fairfield Road Suite 1, Oxford, OH 45056-1587BD
CRD#: 5167
Oxford, OH
Past
February 7, 1996 - February 12, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
February 7, 1996 - February 12, 1997
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
Past
October 11, 1994 - February 14, 1996
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
January 30, 1984 - October 14, 1994
NYLIFE SECURITIES LLC
BD
CRD#: 5167
NEW YORK, NY
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
Arizona(8/21/2023)
RR
Colorado(8/31/2021)
RR
Florida(2/13/2004)
RR
Georgia(11/10/2016)
RR
Illinois(7/28/2025)
RR
Indiana(3/28/1997)
RR
Kentucky(3/31/1997)
RR
North Carolina(6/3/2022)
RR
Ohio(2/28/1997)
IAR
Ohio(2/8/2001)
RR
South Carolina(6/30/2020)
RR
Tennessee(2/16/2021)
RR
Texas(8/17/2016)
IAR
Texas(9/1/2016)
RR
Virginia(11/14/2012)
Exams
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.
