Bruce P. Kardon
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.
Bruce Philip Kardon was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1988. Bruce had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 28, 2008 - October 9, 2018
EAGLE STRATEGIES LLC
July 6, 2005 - October 9, 2018
NYLIFE SECURITIES LLC
September 13, 2004 - February 8, 2005
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
September 13, 2004 - February 8, 2005
NYLIFE DISTRIBUTORS LLC
July 16, 2003 - December 2, 2003
TRANSAMERICA SECURITIES SALES CORPORATION
December 10, 2001 - April 9, 2002
LPL FINANCIAL LLC
July 27, 2000 - April 9, 2002
LPL FINANCIAL LLC
May 7, 1996 - June 15, 2000
CETERA WEALTH SERVICES, LLC
January 24, 1995 - February 23, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 27, 1990 - December 31, 1991
CADARET, GRANT & CO., INC.
May 26, 1988 - September 19, 1988
ASTRA FUND DISTRIBUTORS CORP.
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.
