Paul S. Dunphy
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Paul Stephen Dunphy, who also goes by Paul S Dunphy, Paul Dunphy, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1987. Paul had worked at 10 firms and has passed the Series 63, SIE, Series 7, Series 24, Series 51 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2014 - December 17, 2018
EAGLE STRATEGIES LLC
October 16, 2014 - December 12, 2018
NYLIFE SECURITIES LLC
June 22, 2012 - March 26, 2014
INVESTMENT CENTERS OF AMERICA, INC.
June 21, 2012 - March 26, 2014
INVESTMENT CENTERS OF AMERICA, INC.
April 16, 2009 - May 25, 2012
MSI FINANCIAL SERVICES, INC.
March 25, 2009 - May 25, 2012
MSI FINANCIAL SERVICES, INC.
December 11, 2006 - December 5, 2008
CETERA INVESTMENT SERVICES LLC
December 8, 2006 - December 5, 2008
CETERA INVESTMENT SERVICES LLC
August 2, 2005 - December 15, 2006
FINTEGRA, LLC
February 28, 2005 - December 15, 2006
FINTEGRA, LLC
November 7, 1989 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
November 7, 1989 - January 14, 2005
PRUCO SECURITIES, LLC.
January 19, 1989 - October 17, 1989
INVESTACORP, INC.
January 5, 1987 - June 28, 1988
VERAVEST INVESTMENTS, INC.
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
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.
