RO
Robert K. Ostberg
EAGLE STRATEGIES LLC
NORTHAMPTON, MA 01060
Some features on this profile are disabled
CRD#: 1737978
RO
Professional summary
Robert Karl Ostberg is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Northampton, Massachusetts and NYLIFE SECURITIES LLC located in Northampton, Massachusetts.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Robert 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: OPERATING UNDER THE DBA NAME OF OSTBERG & ASSOCIATES FINANCIAL SERVICES AND INSURANCE FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; OWNER; 351 PLEASANT STREET, SUITE D, NORTHAMPTON MA 01060; START DATE: 05/2004] [LOOK MEMORIAL PARK; Local Park run for the benefit of the community; 300 North Main Street Florence MA 01062; Start Date 12/2023; Role/Title: Volunteer; Not Investment Related; .5 hours per month; 0 hours per month during securities trading hours; volunteer event manager for 1 event annually to raise money for the restoration of the Park Theater] [CITY GOV'T; ROLE/TITLE: VOLUNTEER; NON INVESTMENT RELATED; START DATE 02/2005] [MILLBANK CONDOMINIUMS; TRUSTEE/BOARD MEMBER; NORTHAMPTON, MAINVESTMENT RELATED; START DATE 04/2005] [AIEE LLC; THE LLC WAS FORMED TO BUY THE OFFICE CONDO. MY DBA OSTBERG & ASSOCIATES INSURANCE & FINANCIAL SERVICES IS THE TENANT. I ALSO OWN UNIT C IN THE SAME COMPLEX AND NOW RENT THAT SPACE. I AM A 50% OWNER.; 351 PLEASANT ST., UNITS C & D, NORTHAMPTON, MA 01060; START DATE 11/2014; ROLE/TITLE: OWNER; INVESTMENT RELATED; 1 HOURS PER MONTH; 0 HOURS PER MONTH DURING SECURITIES TRADING HOURS] [Ostberg & Associates Enterprise, LLC; Myself and my NYL Successor's purchased a Unit in our building for investment purposes. We current tenants are other NYL Agents.; 351 Pleasant Street Unit D, Northampton, MA 01060; Start Date 01/2019; Role/Title: Managing Partner; Investment Related; 2 hours per month; 0 hours per month during securities trading hours] [111 Aberdeen LLC; Co Own a lake house with my two brothers from an inheritance from our parents. The lake house is for family use, however, from time to time we rent to friends.; 111 Aberdeen Road, Goshen, MA; Start Date 06/2004; Role/Title: Owner; Not Investment Related; 1 hours per month; 0 hours per month during securities trading hours] [NYLARC Holding Company Inc; Reinsuring the life insurance that I write with New York Life; 51 Madison Avenue New York, NY 10010; Start Date 09/2018; Role/Title: Share Holder-passive investor; Investment Related; 1 hours per month; 1 hours per month during securities trading hours]
CRS (Client Relationship Summary) - RIA
Click below to view Robert Karl Ostberg'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
April 15, 1998 - Present
EAGLE STRATEGIES LLC
Office #1: 351 Pleasant Street Suite D, Northampton, MA 01060RIA
CRD#: 110826
NORTHAMPTON, MA
Current
November 19, 1987 - Present
NYLIFE SECURITIES LLC
Office #1: 351 Pleasant Street Suite D, Northampton, MA 01060BD
CRD#: 5167
Northampton, MA
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
Alabama(5/29/2012)
RR
Arizona(8/31/2009)
RR
California(5/10/2010)
RR
Colorado(5/15/2012)
RR
Connecticut(10/29/1992)
IAR
Connecticut(6/1/2011)
RR
Delaware(4/12/2016)
RR
District of Columbia(6/3/2009)
RR
Florida(9/11/2000)
RR
Georgia(10/31/2006)
RR
Illinois(7/13/2009)
RR
Maine(11/21/1997)
RR
Maryland(11/4/2009)
RR
Massachusetts(11/19/1987)
IAR
Massachusetts(4/15/1998)
RR
Michigan(2/14/2005)
RR
New Hampshire(9/14/2007)
RR
New Jersey(11/16/1992)
RR
New York(10/29/1992)
RR
North Carolina(10/31/2002)
RR
Ohio(2/6/2025)
RR
Oregon(2/18/2014)
RR
Pennsylvania(9/8/2000)
RR
Rhode Island(6/3/2009)
RR
South Carolina(10/2/2007)
RR
Tennessee(10/23/2015)
RR
Texas(8/12/2008)
IAR
Texas(4/5/2022)
RR
Utah(4/21/2022)
RR
Vermont(8/17/2010)
RR
Virginia(9/8/2011)
RR
Washington(12/7/2006)
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
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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.
