PS
Puneet Seth
EAGLE STRATEGIES LLC
ALPHARETTA, GA 30022
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CRD#: 2032506
PS
Professional summary
Puneet Seth, ChFC®, CLU® is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Alpharetta, Georgia and NYLIFE SECURITIES LLC located in Alpharetta, Georgia.
Puneet is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Puneet has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 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.
[Rental Property; Residential rental property; 5965 Cabotage Road, Johns Creek, GA 30097; Start Date: 09/2013; Role/Title: Owner; Investment related; 1 hour per month; 0 hours per month during securities trading hours] [Air BNB home sharing for a fee; Renting portion of our dwelling for use for events by renters for a fee; 2650 Hazy Hollow Run Roswell Ga 30076; Start Date 05/2017; Role/Title: Owner; Investment Related; 3 hours per month; 0 hours per month during securities trading hours] [Fundrise; a Mutual Fund for Real Estate Investing; 1601 Connecticut Avenue NW, 3rd Floor, Washington, DC 20009; Start Date 09/2018; Role/Title: Investor; Investment Related; 0 hours per month; 0 hours per month during securities trading hours] [Start Engine; Investing passively in Startups firms looking for crowdfunding. https://www.startengine.com; https://www.startengine.com; Start Date 01/2021; Role/Title: Investor; Investment Related; 0 hours per month; 0 hours per month during securities trading hours] [AcreTrader; Investing in US Farmland https://www.acretrader.com; 112 W Center Street, Suite 600, Fayetteville, AR 72701; Start Date 03/2021; Role/Title: Investor; Investment Related; 0 hours per month; 0 hours per month during securities trading hours; passive investor] [Rental Property - Calypso Resorts; Condo rented to vacationers thru AirBNB or VRBO. rental Condo at Calypso Resorts, Panama City Beach, Fl; 15817 Front Beach Road, Panama City Beach, Fl 32413; Start Date 01/2021; Role/Title: Investor; Investment Related; 0 hours per month; 0 hours per month during securities trading hours; collect rent] [Miso Robotics, Inc.; Technology Company provides robots for Restaurant Kitchens. www.misorobotics.com; 561 East Green Street, Pasadena, CA 91101; Start Date 01/2019; Role/Title: Investor; Not Investment Related; 0 hours per month; 0 hours per month during securities trading hours; passive investor][Pacaso; Fractional Ownership Oppty of Vacation Rentals; 447 Sutter Street, San Francisco. ; Start Date 12/2024; Role/Title: Passive Investor; Not Investment Related; 0 hours per month; 0 hours per month during securities trading hours][Apushi Enterprises LLC; LLC created to transfer and hold all our rental Properties ; 2650 hazy Hollow Run Roswell, Ga 30076; Start Date 12/2024; Role/Title: Member; Investment Related; 2 hours per month; 0 hours per month during securities trading hours- collect rent manage properties][Rental Property - 330 Swingline Dr. ; Passive Rental Income; 330 Swingline, Milton Ga 30022; Start Date 03/2016; Role/Title: Owner; Investment Related; 1 hours per month; 1 hours per month during securities trading hours]
CRS (Client Relationship Summary) - RIA
Click below to view Puneet Seth'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®
Experience
Current
December 21, 2012 - Present
EAGLE STRATEGIES LLC
Office #1: 3655 Brookside Parkway Suite 400, Alpharetta, GA 30022RIA
CRD#: 110826
ALPHARETTA, GA
Current
September 23, 2000 - Present
NYLIFE SECURITIES LLC
Office #1: 3655 Brookside Parkway Suite 400, Alpharetta, GA 30022BD
CRD#: 5167
Alpharetta, GA
Past
February 12, 1998 - June 19, 2000
MONY SECURITIES CORPORATION
BD
CRD#: 4386
NEW YORK, NY
Past
February 26, 1990 - February 5, 1998
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
February 26, 1990 - February 5, 1998
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, 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
Georgia(3/28/2011)
IAR
Georgia(12/21/2012)
RR
South Carolina(12/10/2024)
RR
Tennessee(12/4/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
