Stephen G. Higgins

EAGLE STRATEGIES LLC

SANTA ROSA, CA 95401

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CRD#: 2304411

Professional summary

Stephen Gardner Higgins, who also goes by Stephen G Higgins, Steve Higgins, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Santa Rosa, California and NYLIFE SECURITIES LLC located in Santa Rosa, California.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Stephen has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen G Higgins | Steve Higgins

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; Own a home that has an upstairs and a downstairs unit that we lease on an annual basis.; 8700 Bee Tree Road, San Miguel, CA 93451; start 06/2021; owner; 2 hours per month, 0 hours during securities trading hours; real estate related]

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Gardner Higgins's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 12, 2024 - Present

EAGLE STRATEGIES LLC

Office #1: 149 Stony Circle Suite 200, Santa Rosa, CA 95401

RIA

CRD#: 110826

SANTA ROSA, CA

Current

July 1, 2024 - Present

NYLIFE SECURITIES LLC

Office #1: 149 Stony Circle Suite 200, Santa Rosa, CA 95401

CRD#: 5167

Santa Rosa, CA

Past

October 3, 2013 - August 25, 2016

J.P. MORGAN SECURITIES LLC

CRD#: 79

SANTA ROSA, CA

Past

January 23, 1995 - October 16, 1997

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

February 3, 1994 - April 12, 1994

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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".

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.

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

California
(11/12/2024)

IAR

California
(11/12/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/9/2024

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/17/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 6/28/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/15/2024

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/27/2013

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 2/2/1994

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

EAGLE STRATEGIES LLC

EAGLE STRATEGIES CORP | EAGLE STRATEGIES LLC

CRD#: 110826 / SEC#: 801-32987

RIA

Registered Investment Advisory firm - (10/14/1988 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

APPENDIX 1 DISCLOSURE BROCHURE (11/11/2025)

EAGLE STRATEGIES DISCLOSURE BROCHURE (10/23/2025)

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	Cover Page	Report
04/25/2024	Cover Page	Report
12/20/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Stephen G. Higgins

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Gardner Higgins's CRS (Customer Relationship Summary).

Certified licenses

Experience

NYLIFE SECURITIES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

EAGLE STRATEGIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/9/2024

Series 63

Date: 10/17/2013

Series 7TO

Date: 6/28/2024

SIE

Date: 2/15/2024

Series 6

Date: 9/27/2013

Series 7

Date: 2/2/1994

FINRA

Current Firm

EAGLE STRATEGIES LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

EAGLE STRATEGIES LLC

TRUST BUT VERIFY

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