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Michael Alan Rudolph

EAGLE STRATEGIES
OXFORD, OH
·CRD# 1199955·42 years experience

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.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

42 years in the financial services industry

Current & Past Employments

EAGLE STRATEGIES LLC·CRD# 110826
RIA
5995 Fairfield Road Suite 1, Oxford, OH 45056-1587
February 8, 2001 - Present
NYLIFE SECURITIES LLC·CRD# 5167
BD
5995 Fairfield Road Suite 1, Oxford, OH 45056-1587
February 27, 1997 - Present
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY·CRD# 5181
BD
Boston, MA
February 7, 1996 - February 12, 1997
SIGNATOR INVESTORS, INC.·CRD# 468
BD
Boston, MA
February 7, 1996 - February 12, 1997
G. R. PHELPS & CO., INC.·CRD# 173
BD
October 11, 1994 - February 14, 1996
NYLIFE SECURITIES LLC·CRD# 5167
BD
New York, NY
January 30, 1984 - October 14, 1994

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Current Firm

ES
EAGLE STRATEGIES LLC

EAGLE STRATEGIES CORP | EAGLE STRATEGIES LLC

CRD#: 110826 / SEC#: 801-32987
RIA
Registered Investment Advisory firm - SEC (10/14/1988 Approved)

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

# of Employees

3,190

SEC notice filing (51 States and Territories)

Registered to provide investment advisory services in 51 US states and territories.

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

APPENDIX 1 DISCLOSURE BROCHURE (7/31/2026)

Regulatory Assets Under Management

Total Number of Accounts

133,900

AUM (Assets Under Management)

$32,040,850,438

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
04/27/2026Cover PageReport
01/24/2025Cover PageReport
04/25/2024Cover PageReport
12/20/2023Cover PageReport

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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]

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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 - SEC (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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
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)

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.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Oct 1990About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 22 — Direct Participation Programs Representative Examination

Passed Oct 1989About the Series 22 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Jan 1984About the Series 6 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Michael Alan Rudolph's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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