AS
Alva D. Smith
EAGLE STRATEGIES LLC
ADVANCE, NC 27006
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CRD#: 2023318
AS
Professional summary
Alva Dennis Smith, who also goes by Al Smith, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Advance, North Carolina and NYLIFE SECURITIES LLC located in Advance, North Carolina.
Alva is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Alva has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Al Smith
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.
[Clemmons First Baptist Church; The Finance Committee in cooperation with the Treasurer and the Financial Secretary, shall keep CFBC informed at all time of the Financial condition by submitting a monthly financial Statement to the church.; Clemmons First Baptist Church 3530 Clemmons Road, Clemmons , NC 27012; Start Date 01/2023; Role/Title: Board Member; Not Investment Related; 2 hours per month; 1 hours per month during securities trading hours; Any undertaking that requires the collection or expenditure of money not provided for in the budget shall first be referred to the Finance Committee for consideration and recommendation to CFBC. The committee consist of 8 members and one deacon.] [APPOINTED WITH OUTSIDE INSURANCE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS: INVESTMENT RELATED; 157 YADKIN VALLEY RD. SUITE 224 (PO BOX 2084), ADVANCE, NC 27006; OWNER; INSURANCE BROKER; START DATE 8/2008]
CRS (Client Relationship Summary) - RIA
Click below to view Alva Dennis Smith'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
December 31, 2001 - Present
EAGLE STRATEGIES LLC
Office #1: 157 Yadkin Valley Road Suite 224 P.o. Box 2084, Advance, NC 27006RIA
CRD#: 110826
ADVANCE, NC
Current
March 9, 1990 - Present
NYLIFE SECURITIES LLC
Office #1: 157 Yadkin Valley Road Suite 224, Advance, NC 27006BD
CRD#: 5167
Advance, NC
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
Florida(8/19/2025)
RR
Georgia(5/7/1990)
RR
Michigan(9/20/2013)
RR
North Carolina(3/12/1990)
IAR
North Carolina(12/31/2001)
RR
Virginia(5/1/1990)
RR
Wyoming(2/22/2019)
Exams
State Security Law Exam
State Security Law 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.
