Anna Chu

EAGLE STRATEGIES LLC

NEW YORK, NY 10170

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CRD#: 1532756

Professional summary

Anna Chu is a registered financial advisor currently at EAGLE STRATEGIES LLC located in New York, New York and NYLIFE SECURITIES LLC located in New York, New York.

Anna is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Anna has worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 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 CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED OUTSIDE INSURANCE PRODUCTS; 420 LEXINGTON AVENUE, NEW YORK, NY 10170; START DATE:05/2015; ROLE/TITLE: INSURANCE BROKER; COMPENSATION: COMMISSIONS; INVESTMENT RELATED; 10 HOURS PER MONTH, 10 HOURS PER MONTH DURING SECURITIES TRADING HOURS]

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anna Chu'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

June 18, 2015 - Present

EAGLE STRATEGIES LLC

Office #1: 420 Lexington Avenue 14th & 15th Floor, New York, NY 10170

RIA

CRD#: 110826

NEW YORK, NY

Current

May 26, 2015 - Present

NYLIFE SECURITIES LLC

Office #1: 420 Lexington Avenue 14th & 15th Floor, New York, NY 10170

CRD#: 5167

New York, NY

Past

May 5, 2014 - May 12, 2015

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

NEW YORK, NY

Past

October 27, 2009 - January 22, 2014

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

NEW YORK, NY

Past

September 25, 2009 - January 22, 2014

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

NEW YORK, NY

Past

June 2, 2009 - October 1, 2009

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

NEW YORK, NY

Past

April 3, 2009 - October 1, 2009

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

November 28, 2000 - April 4, 2001

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

April 14, 1998 - November 27, 2000

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

February 3, 1997 - February 10, 1998

ING BARING (U.S.) SECURITIES, INC.

CRD#: 5285

NEW YORK, NY

Past

November 12, 1993 - April 13, 1995

GE CAPITAL MARKETS, INC.

CRD#: 13349

NORWALK, CT

Past

May 16, 1990 - July 19, 1993

CHASE SECURITIES, INC.

CRD#: 10793

NEW YORK, MD

Past

April 18, 1989 - March 19, 1990

DREXEL BURNHAM LAMBERT INCORPORATED

CRD#: 7323

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

California
(4/25/2018)

Colorado
(5/17/2022)

Connecticut
(4/23/2021)

Florida
(6/4/2015)

Minnesota
(2/9/2018)

New Jersey
(5/26/2015)

IAR

New Jersey
(6/18/2015)

New York
(2/3/2016)

IAR

New York
(8/3/2021)

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 66

Date: 4/27/2009

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 2/13/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/2/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/2/2009

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/29/1994

General Securities Principal Examination

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

Anna Chu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anna Chu's CRS (Customer Relationship Summary).

Certified licenses

Experience

NYLIFE SECURITIES LLC

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

PRUDENTIAL EQUITY GROUP, LLC

CIBC WORLD MARKETS CORP.

ING BARING (U.S.) SECURITIES, INC.

GE CAPITAL MARKETS, INC.

CHASE SECURITIES, INC.

DREXEL BURNHAM LAMBERT INCORPORATED

Primary Firm SEC Registration

EAGLE STRATEGIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/27/2009

Series 65

Date: 2/13/2001

Series 63

Date: 6/2/1994

SIE

Date: 10/1/2018

Series 7

Date: 4/2/2009

Series 24

Date: 9/29/1994

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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