Arthur T. Zottola

EAGLE STRATEGIES

NEW YORK, NY 10010

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CRD#: 1884865

Professional summary

Arthur Tristan Zottola III, CFP®, who also goes by Art Zottola, Arthur Tristan Zottola III, Artie Zottola, Arthur Tristan Zottola, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in New York, New York and NYLIFE SECURITIES LLC located in New York, New York.

Arthur is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Arthur has worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Art Zottola | Arthur Tristan Zottola Iii | Artie Zottola | Arthur Tristan Zottola

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur Tristan Zottola III's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Experience

Current

March 2, 2020 - Present

EAGLE STRATEGIES LLC

Office #1: 51 Madison Avenue, New York, NY 10010

RIA

CRD#: 110826

NEW YORK, NY

Current

March 26, 2019 - Present

NYLIFE SECURITIES LLC

Office #1: 51 Madison Avenue, New York, NY 10010

CRD#: 5167

New York, NY

Past

April 15, 2013 - February 19, 2015

BARCLAYS CAPITAL INC.

RIA

CRD#: 19714

NEW YORK, NY

Past

April 15, 2013 - February 19, 2015

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

November 27, 2006 - February 6, 2013

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

NEW YORK, NY

Past

May 3, 2000 - February 6, 2013

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

August 4, 1993 - February 17, 2000

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

December 10, 1992 - August 12, 1993

ROBERT THOMAS SECURITIES, INC

CRD#: 10147

ST. PETERSBURG, FL

Past

October 13, 1992 - December 9, 1992

ROBERT TODD FINANCIAL CORP.

CRD#: 7423

NEW YORK, NY

Past

October 16, 1990 - May 1, 1992

NORTHEAST BROKERAGE SERVICES CORPORATION

CRD#: 26601

Past

October 12, 1988 - October 24, 1990

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Alabama
(4/13/2026)

Alaska
(4/22/2026)

Arizona
(4/23/2026)

Arkansas
(4/16/2026)

California
(4/13/2026)

Colorado
(4/13/2026)

Connecticut
(4/13/2026)

Delaware
(4/13/2026)

District of Columbia
(4/13/2026)

Florida
(4/13/2026)

Georgia
(4/14/2026)

Hawaii
(4/14/2026)

Idaho
(4/13/2026)

Illinois
(4/14/2026)

Indiana
(4/13/2026)

Iowa
(4/13/2026)

Kansas
(4/13/2026)

Kentucky
(4/13/2026)

Louisiana
(4/13/2026)

Maine
(4/13/2026)

Maryland
(4/21/2026)

Massachusetts
(4/13/2026)

Michigan
(4/15/2026)

Minnesota
(4/13/2026)

Mississippi
(4/21/2026)

Missouri
(4/13/2026)

Montana
(4/13/2026)

Nebraska
(4/13/2026)

Nevada
(4/13/2026)

New Hampshire
(4/14/2026)

New Jersey
(2/7/2020)

New Mexico
(4/13/2026)

New York
(12/16/2019)

IAR

New York
(8/3/2021)

North Carolina
(4/14/2026)

North Dakota
(4/21/2026)

Ohio
(4/13/2026)

Oklahoma
(4/14/2026)

Oregon
(4/16/2026)

Pennsylvania
(4/13/2026)

Rhode Island
(4/13/2026)

South Carolina
(4/15/2026)

South Dakota
(4/13/2026)

Tennessee
(4/13/2026)

IAR

Texas
(4/15/2026)

Texas
(4/20/2026)

Utah
(4/13/2026)

Vermont
(4/13/2026)

Virginia
(4/14/2026)

Washington
(4/13/2026)

West Virginia
(4/15/2026)

Wisconsin
(4/14/2026)

Wyoming
(4/13/2026)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 12/13/2019

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/12/1996

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 1/2/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/10/1992

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/11/1988

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 6/22/1994

General Securities Principal Examination

SRO Registrations

FINRA

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 (3/3/2026)

EAGLE STRATEGIES DISCLOSURE BROCHURE (3/3/2026)

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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Firm Stability Insights

Arthur T. Zottola

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Arthur Tristan Zottola III's CRS (Customer Relationship Summary).

Certified licenses

Experience

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

BARCLAYS CAPITAL INC.

BARCLAYS CAPITAL INC.

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

OSAIC WEALTH, INC.

ROBERT THOMAS SECURITIES, INC

ROBERT TODD FINANCIAL CORP.

NORTHEAST BROKERAGE SERVICES CORPORATION

WAMU INVESTMENTS, INC.

Primary Firm SEC Registration

EAGLE STRATEGIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 12/13/2019

Series 65

Date: 9/12/1996

SIE

Date: 1/2/2023

Series 7

Date: 10/10/1992

Series 6

Date: 10/11/1988

Series 24

Date: 6/22/1994

FINRA

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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