MS
Michael W. Shumard
EAGLE STRATEGIES LLC
FT. SMITH, AR 72903
Some features on this profile are disabled
CRD#: 2149724
MS
Professional summary
Michael Wayne Shumard, who also goes by Mike Shumard, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Ft. Smith, Arkansas and NYLIFE SECURITIES LLC located in Fayetteville, Arkansas.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Michael has worked at 2 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Mike Shumard
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 INSURANCE PRODUCTS; DBA FULMER SHUMARD INC.; INVESTMENT RELATED; START DATE 6/2002] [OPERATING UNDER THE DBA NAME OF TSG FINANCIAL, LLC FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; OWNER; FAYETTEVILLE, AR; START DATE: 09/2013] [MIKE SHUMARD CATTLE SALES; LIVESTOCK OPERATION; 14501 PEACEFUL HOME RD., NATURAL DAM, ARKANSAS 72948; START DATE 03/2013; ROLE/TITLE: OWNER; NOT INVESTMENT RELATED; 60 HOURS PER MONTH; 0 HOURS PER MONTH DURING SECURITIES TRADING HOURS] [Bridgeport Dunes Condominiums; Board of Directors - preside at HOA meetings; 114948 S 4172 Cir, Eufala OK 74432; Start Date 05/2017; Role/Title: Board Member; Not Investment Related; 1 hours per month; 0 hours per month during securities trading hours] [OPERATING UNDER THE DBA NAME OF Parity Financial Group, LLC FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; ASSOCIATE; FT. SMITH AR; START DATE: 02/2024]
CRS (Client Relationship Summary) - RIA
Click below to view Michael Wayne Shumard'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
March 8, 2002 - Present
EAGLE STRATEGIES LLC
Office #1: 2120 S. Waldron Road Suite 4a, Ft. Smith, AR 72903Office #2: 4285 N Shiloh Drive Suite 301m, Fayetteville, AR 72703RIA
CRD#: 110826
FT. SMITH, AR
Current
August 21, 1991 - Present
NYLIFE SECURITIES LLC
Office #1: 4285 N Shiloh Drive Suite 301m, Fayetteville, AR 72703Office #2: 2120 S. Waldron Road Suite 4a, Ft. Smith, AR 72903BD
CRD#: 5167
FAYETTEVILLE, AR
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
Arkansas(8/22/1991)
IAR
Arkansas(3/8/2002)
RR
Colorado(6/5/2024)
RR
Missouri(5/1/2009)
RR
Nebraska(1/11/2023)
RR
Oklahoma(3/31/1993)
RR
Texas(9/25/2013)
IAR
Texas(5/11/2023)
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.
