Roger E. Yankey

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CRD#: 1858593

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.

Roger Ervin Yankey II, who also goes by Erv Yankey II, Roger Ervin Yankey, was a registered financial professional .

Roger is a previously registered financial professional and started their career in finance in 1992. Roger had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Erv Yankey Ii | Roger Ervin Yankey

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.

[SIR PIZZA; DELIVERING PIZZA PART TIME; 1076 S. BROADWAY LEXINGTON KY 40508; START DATE 01/2014; EMPLOYEE; NON-INVESTMENT RELATED; COMPENSATION: WAGES; 10 HOURS PER MONTH; 0 HOURS PER MONTH DURING SECURITIES TRADING HOURS]

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 4, 2015 - March 13, 2023

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

PERRYVILLE, KY

Past

January 28, 2014 - March 13, 2023

NYLIFE SECURITIES LLC

CRD#: 5167

PERRYVILLE, KY

Past

February 24, 2011 - May 1, 2013

LEXINGTON INVESTMENT COMPANY, INC.

RIA

CRD#: 27393

LEXINGTON, KY

Past

July 21, 2006 - August 18, 2006

OSAIC SERVICES, INC.

CRD#: 133763

LOUISVILLE, KY

Past

July 14, 2006 - May 1, 2013

LEXINGTON INVESTMENT COMPANY, INC.

CRD#: 27393

LEXINGTON, KY

Past

January 7, 2004 - June 14, 2006

J.J.B. HILLIARD, W.L. LYONS, LLC

RIA

CRD#: 453

DANVILLE, KY

Past

June 21, 1996 - June 14, 2006

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD#: 453

DANVILLE, KY

Past

March 27, 1992 - June 10, 1996

INTERFIRST CAPITAL CORPORATION

CRD#: 7659

LOS ANGELES, CA

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/18/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/5/1990

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: 3/25/1992

General Securities Representative Examination

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

Roger E. Yankey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NYLIFE SECURITIES LLC

LEXINGTON INVESTMENT COMPANY, INC.

OSAIC SERVICES, INC.

LEXINGTON INVESTMENT COMPANY, INC.

J.J.B. HILLIARD, W.L. LYONS, LLC

J.J.B. HILLIARD, W.L. LYONS, LLC

INTERFIRST CAPITAL CORPORATION

Primary Firm SEC Registration

EAGLE STRATEGIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/18/2000

Series 63

Date: 10/5/1990

SIE

Date: 10/1/2018

Series 7

Date: 3/25/1992

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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