Mitchell D. Rosenberg
EAGLE STRATEGIES LLC
THOUSAND OAKS, CA 91360
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CRD#: 1500813
Professional summary
Mitchell Dean Rosenberg, CFP® is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Thousand Oaks, California and NYLIFE SECURITIES LLC located in Thousand Oaks, California.
Mitchell is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Mitchell has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7, 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 OUTSIDE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS; DBA MDR INSURANCE AND FINANCIAL SERVICES; 889 PIERCE COURT #102 THOUSAND OAKS, CA 91360; SOLE PROPRIETORSHIP] [OPERATING UNDER THE DBA NAME OF MAHONEY FINANCIAL ORGANIZATION, LLC D/B/A MFO INSURANCE SOLUTIONS FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES; INVESTMENT RELATED; ASSOCIATE; THOUSAND OAKS, CA; START DATE: 10/2017] [GEISEN LEHMAN GROVE MARKET RESEARCH; MARKET RESEARCH PARTICIPANT; CONSULTANT; PAID WAGE ; NON INVESTMENT RELATED; PARTICIPANT ON RELEVENT SUBJECTS] [THE ROSENBERG RENTAL PROPERTIES 1, LLC; RENTAL REAL ESTATE; 889 PIERCE CT 102 THOUSAND OAKS CA 91360; START DATE 04/2013; ROLE/TITLE: OWNER; INVESTMENT RELATED; 10 HOURS PER MONTH; 5 HOURS PER MONTH DURING SECURITIES TRADING HOURS] [The Children's Hospital Advisory Board; board member; non investment related; start date 01/2000; 4650 Sunset Blvd, Los Angeles, CA 90027; 2 hours per month; attend meeting or event. discuss topics helping the community] [Pantera Digital Asset Fund; 3000 Sand Hill Rd Sutie 1-235 Menlo Park ca 94025; Start Date 03/2018; Role/Title: Investor; Not Investment Related; 0 hours per month; 0 hours per month during securities trading hours] [Pantera ICO Fund LP; 1 Freedom Valley Drive, Oaks, PA 19456; Start Date 11/2017; Role/Title: Investor; Not Investment Related; 0 hours per month; 0 hours per month during securities trading hours] [Provisors Warner Center 1 chapter; ProVisors�, 15165 Ventura Blvd # 425, Sherman Oaks, CA 91403; Start Date 01/2008; Role/Title: Member; Investment Related; 2 hours per month; 2 hours per month during securities trading hours; help screen new members, keep track of attendance] [Pantera Venture Fund III LP; crypto currency venture fund (LP) that invests in infrastructure companies; 3000 Sand Hill Rd Sutie 1-235 Menlo Park ca 94025; Start Date 09/2008; Role/Title: Passive Investor; Not Investment Related; 0 hours per month; 0 hours per month during securities trading hours] [nylarc holding co inc; reinsuring life insurance that i write with nyl; 51 madison ave ny ny 10010; Start Date 01/2010; Role/Title: shareholder; Investment Related; 0 hours per month; 0 hours per month during securities trading hours] [Quotient Pharmaceuticals Manufacturing; 18401 Von Karman Irvine ca 92612; Start Date 02/2020; Role/Title: Investor; Investment Related; 0 hours per month; 0 hours per month during securities trading hours; passive investor] [Alumni Ventures; Venture Capital Investments; 670 N Commerical st 403 Manchester NH 03101; Start Date 09/2017; Role/Title: Investor; Not Investment Related; 0 hours per month; 0 hours per month during securities trading hours; passive investor] [Strawberry Creek Ventures Funds; private placement investing in CAL Berkeley related start up companies; 788 Elm St. Manchester, NH, 03101.; Start Date 10/2017; Role/Title: Investor; Investment Related; 0 hours per month; 0 hours per month during securities trading hours; passive investor] [Sonix RND Inc ; Private Placement. Alternative Energy Provider; 8 The Green Suite A Dover, Delaware 19901; Start Date 06/2023; Role/Title: Investor; Not Investment Related; 0 hours per month; 0 hours per month during securities trading hours; passive investor] [Investors Management Group; Institutional Apartment Building Real Estate Firm - Limited Partner Interests; 22144 Clarendon St #220, Woodland Hills, CA 91367; Start Date 07/2019; Role/Title: Investor; Investment Related; 0 hours per month; Investment related] [Altos Bank; commercial bank; 467 FIRST STREET, SUITE 300 LOS ALTOS, CALIFORNIA 94022; Start Date 10/2024; Role/Title: Passive Investor; Investment Related; 0 hours per month; 0 hours per month during securities trading hours]
CRS (Client Relationship Summary) - RIA
Click below to view Mitchell Dean Rosenberg'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®
CFP®
Start date: 1990
Experience
Current
June 10, 1997 - Present
EAGLE STRATEGIES LLC
Office #1: 889 Pierce Court Suite 102, Thousand Oaks, CA 91360RIA
CRD#: 110826
THOUSAND OAKS, CA
Current
May 17, 1986 - Present
NYLIFE SECURITIES LLC
Office #1: 889 Pierce Court Suite 102, Thousand Oaks, CA 91360BD
CRD#: 5167
Thousand Oaks, CA
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(5/28/2020)
RR
California(5/17/1986)
IAR
California(6/10/1997)
RR
Colorado(6/29/2021)
RR
Florida(6/1/2021)
RR
Georgia(9/13/2023)
RR
Massachusetts(12/6/2018)
RR
Michigan(4/16/2014)
RR
Nevada(8/14/2018)
RR
New Mexico(8/20/2025)
RR
New York(6/5/2014)
RR
Oregon(5/21/2025)
RR
Texas(8/25/2017)
IAR
Texas(9/15/2017)
RR
Virginia(12/25/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
Company Information
EAGLE STRATEGIES LLC
CRD#: 110826Thousand Oaks, CA 91360TRUST BUT VERIFY
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