RF
Robert J. Fincham
EAGLE STRATEGIES LLC
BEND, OR
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CRD#: 1612546
RF
Professional summary
Robert James Fincham JR, who also goes by Rob Fincham, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Bend, Oregon and NYLIFE SECURITIES LLC located in Bend, Oregon.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Robert has worked at 3 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
Rob Fincham
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.
[MUSICIAN, PRIMARILY FOR CHARITABLE ORGANIZATIONS- PERFORM LESS THAN 2 HOURS/WEEK; NON INVESTMENT RELATED; START DATE 12/2011] [OPERATING UNDER THE DBA NAME OF FINCHAM FINANCIAL GROUP LLC FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; OWNER; 100 MAPLE STREET WYANDOTTE, MI 48192; START DATE: 08/2005; 20784 CARMEN LOOP STE 140 BEND OR 97702] [Broken Top Community Association Finance Committee; provides management for the Broken Top Community and Neighborhoods; 404 SW Columbia Street Suite 140 Bend, Oregon 97702; start date 12/2023; non investment related; volunteer; responsibilities include monitoring the short- and long-term financial health of BTCA and vote to recommend operating and reserve budgets to the Board of Directors; 1 hour per month none during securities hours] [Broken Top Club Member Experience Committee; provides golf, pickleball, tennis, swimming, and social amenities to it's members; 62000 Broken Top Drive, Bend, Oregon 97702; start date 12/2023; non investment related; volunteer; responsible for matters pertaining to the development, orientation, and retention of all classes of Membership, ensuring that all member categories are considered in the programming, amenity, and social calendaring of the Club; 1 hour per month none during securities hours]
CRS (Client Relationship Summary) - RIA
Click below to view Robert James Fincham JR'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®
NoneExperience
Current
March 27, 1997 - Present
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
BEND, OR
Current
January 8, 1987 - Present
NYLIFE SECURITIES LLC
BD
CRD#: 5167
BEND, OR
Past
January 26, 1996 - December 12, 1996
EAGLE STRATEGIES CORP
BD
CRD#: 36707
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
California(7/20/1993)
RR
Colorado(1/12/1998)
RR
Oregon(1/8/1987)
IAR
Oregon(3/27/1997)
RR
Washington(9/18/1989)
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.
