Nicholas J. Inglese
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.
Nicholas James Inglese, who also goes by Nick Inglese, was a registered financial professional .
Nicholas is a previously registered financial professional and started their career in finance in 1991. Nicholas had worked at 10 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 12, 2013 - January 24, 2025
EAGLE STRATEGIES LLC
August 16, 2012 - January 24, 2025
NYLIFE SECURITIES LLC
October 17, 2011 - March 23, 2012
EQUITABLE ADVISORS, LLC
August 28, 2008 - February 10, 2011
LPL FINANCIAL LLC
June 21, 2006 - September 26, 2008
ESSEX NATIONAL SECURITIES, LLC
October 5, 2005 - June 21, 2006
PFIC SECURITIES CORPORATION
September 11, 1997 - October 5, 2005
FISERV INVESTOR SERVICES, INC.
June 3, 1996 - August 25, 1997
ESSEX NATIONAL SECURITIES, LLC
August 16, 1993 - July 13, 1995
ESSEX NATIONAL SECURITIES, LLC
August 3, 1993 - June 23, 1995
LASALLE FINANCIAL SERVICES, INC.
September 23, 1991 - July 29, 1993
ROYCE INVESTMENT GROUP, INC.
January 25, 1991 - February 18, 1992
VERAVEST INVESTMENTS, INC.
Primary Firm SEC Registration
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
EAGLE STRATEGIES LLC
CRD#: 110826 / SEC#: 801-32987
Contact information
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.
