James P. Healy

EAGLE STRATEGIES LLC

MILWAUKEE, WI 53214

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CRD#: 1255975

Professional summary

James Peter Healy is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Milwaukee, Wisconsin and NYLIFE SECURITIES LLC located in Milwaukee, Wisconsin.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. James has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7 and Series 8 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 outside carriers for the purpose of brokering non-registered insurance products;135 S 84th St, Suite 400, Milwaukee, WI 53214; 12/2019; 40 hours per month; 40 hours during trading hours]

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Peter Healy's CRS (Customer Relationship Summary).

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®

None

Experience

Current

January 23, 2020 - Present

EAGLE STRATEGIES LLC

Office #1: 135 South 84th St Suite 400, Milwaukee, WI 53214

RIA

CRD#: 110826

MILWAUKEE, WI

Current

January 15, 2020 - Present

NYLIFE SECURITIES LLC

Office #1: Honey Creek Corporate Center 135 South 84th St. Suite 400, Milwaukee, WI 53214

CRD#: 5167

Milwaukee, WI

Past

April 28, 2008 - December 19, 2019

THRIVENT INVESTMENT MANAGEMENT INC.

RIA

CRD#: 18387

OCONOMOWOC, WI

Past

April 28, 2008 - December 19, 2019

THRIVENT INVESTMENT MANAGEMENT INC.

CRD#: 18387

OCONOMOWOC, WI

Past

July 17, 2001 - November 6, 2006

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WAUKESHA, WI

Past

October 12, 1990 - November 6, 2006

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WAUKESHA, WI

Past

November 10, 1986 - October 24, 1990

PIPER SANDLER & CO.

CRD#: 665

MINNEAPOLIS, MN

Past

April 18, 1984 - November 28, 1986

UBS FINANCIAL SERVICES INC.

CRD#: 8174

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".

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.

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

Arizona
(2/10/2020)

District of Columbia
(2/4/2020)

Florida
(2/3/2020)

Illinois
(2/28/2020)

North Carolina
(1/2/2025)

Texas
(2/3/2020)

IAR

Texas
(2/13/2020)

Washington
(6/22/2021)

Wisconsin
(1/15/2020)

IAR

Wisconsin
(1/23/2020)

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

State Security Law Exam

IAR

Series 65

Date: 6/30/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/24/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/10/1984

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/14/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 12/8/1986

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

EAGLE STRATEGIES LLC

EAGLE STRATEGIES CORP | EAGLE STRATEGIES LLC

CRD#: 110826 / SEC#: 801-32987

RIA

Registered Investment Advisory firm - (10/14/1988 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APPENDIX 1 DISCLOSURE BROCHURE (11/11/2025)

EAGLE STRATEGIES DISCLOSURE BROCHURE (10/23/2025)

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	Cover Page	Report
04/25/2024	Cover Page	Report
12/20/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

James P. Healy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Peter Healy's CRS (Customer Relationship Summary).

Certified licenses

Experience

NYLIFE SECURITIES LLC

THRIVENT INVESTMENT MANAGEMENT INC.

THRIVENT INVESTMENT MANAGEMENT INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PIPER SANDLER & CO.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

EAGLE STRATEGIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/30/2001

Series 63

Date: 4/24/1984

SIE

Date: 10/1/2018

Series 3

Date: 5/10/1984

Series 7

Date: 4/14/1984

Series 8

Date: 12/8/1986

FINRA

Current Firm

EAGLE STRATEGIES LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EAGLE STRATEGIES LLC

TRUST BUT VERIFY

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