NH
Nancy P. Hertwig
EAGLE STRATEGIES LLC
KNOXVILLE, TN 37922-6901
Some features on this profile are disabled
CRD#: 2072103
NH
Professional summary
Nancy P Hertwig, ChFC®, CLU®, who also goes by Nancy H Hertwig, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Knoxville, Tennessee and NYLIFE SECURITIES LLC located in Knoxville, Tennessee.
Nancy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Nancy has worked at 2 firms and has passed the Series 63, SIE, Series 6 and Series 22 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nancy H Hertwig
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.
[INSURANCE BROKERING; APPOINTED WITH VARIOUS OUTSIDE INSURANCE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED OUTSIDE INSURANCE PRODUCTS; 9724 Kingston Pike, Ste. 1011, Knoxville, TN 37922; Start Date 11/2022; Role/Title: Insurance Broker; Investment Related; 3 hours per month; 3 hours per month during securities trading hours]] [RENTAL PROPERTY; CO-OWNER W/SPOUSE OF CONDOMINIUM FOR RENTAL PURPOSES; 120 BAKER MEADOWS LN, CLINTON TN 37716; START DATE: 12/2004; ROLE/TITLE: OWNER; INVESTMENT RELATED] [REAL ESTATE INVESTMENTS; PURCHASE, REHABILITATE, AND SELL PROPERTIES; 120 BAKER MEADOWS LANE, CLINTON, TN 37716; START DATE: 01/2008; ROLE/ TITLE: OWNER; INVESTMENT RELATED; 2-4 HOURS PER MONTH] [Church Street United Methodist Church; Permanent Endowment and Planned Giving Ministry Committee - Oversight of endowment funds; 900 Henley Street, Knoxville, TN 37902; Start Date 05/2016; Role/Title: Member; Not Investment Related; 1 hours per month; 0 hours per month during securities trading hours] [Church Street United Methodist Church; Church; 900 Henley St., Knoxville, TN 37902; Start Date 01/2025; Role/Title: Board Member; Not Investment Related; 1 hours per month; 0 hours per month during securities trading hours; trustee]
CRS (Client Relationship Summary) - RIA
Click below to view Nancy P Hertwig'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
November 14, 2008 - Present
EAGLE STRATEGIES LLC
Office #1: 9724 Kingston Pike Franklin Square - Suite 1011, Knoxville, TN 37922-6901RIA
CRD#: 110826
KNOXVILLE, TN
Current
September 6, 1990 - Present
NYLIFE SECURITIES LLC
Office #1: 9724 Kingston Pk Franklin Square - Suite 1011, Knoxville, TN 37922-6901BD
CRD#: 5167
Knoxville, TN
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
Alabama(6/30/2021)
RR
California(3/16/2023)
RR
Indiana(8/4/2021)
RR
Kentucky(2/15/2012)
RR
North Carolina(1/9/2023)
RR
Tennessee(9/7/1990)
IAR
Tennessee(11/14/2008)
RR
Washington(7/16/2021)
Exams
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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
Company Information
EAGLE STRATEGIES LLC
CRD#: 110826Knoxville, TN 37922-6901TRUST BUT VERIFY
Monitor Nancy Hertwig
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
