Frank R. Jones

EAGLE STRATEGIES LLC

HUNTSVILLE, AL 35801

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CRD#: 2318665

Professional summary

Frank Rogers Jones III, who also goes by Frank Rogers Jones III, Frank Rogers III Jones, Frank Rogers Jones, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Huntsville, Alabama and NYLIFE SECURITIES LLC located in Huntsville, Alabama.

Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Frank has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Frank Rogers Jones Iii | Frank Rogers Iii Jones | Frank Rogers Jones

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.

[Gulf Coast Soccer Officials Association; Organization is a non-profit entity that is focused on the recruitment, training, and development of high school soccer referees in Mobile, AL and the surrounding areas.; 12718 Ibis Blvd, Spanish Fort, AL 36527; Start Date 12/2018; Role/Title: Board Member; Not Investment Related; 3 hours per month; 0 hours per month during securities trading hours; As Vice-President, I will be responsible with working with the President on planning and facilitating monthly meetings.] [Soccer Official; officiate youth, high school and college soccer matches- serve as a referee coach for USSF and AHSAA.; 22356 Ansley Drive, Athens, AL 35613; Start Date 10/2017; Role/Title: Independent Contractor; Not Investment Related; 20 hours per month; 0 hours per month during securities trading hours][Alabama Soccer Referee Association; State Director of Instruction; implementing and overseeing soccer referee training and development. This is an appointed board position with the Alabama State Referee Association.; 4678 Valleydale Road, Suite 200, Birmingham, AL 35242; Start Date 08/2024; Role/Title: Board Member; Not Investment Related; 4 hours per month; 0 hours per month during securities trading hours]

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Rogers Jones III'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

January 4, 2018 - Present

EAGLE STRATEGIES LLC

Office #1: 720 Gallatin Street Sw Suite 200, Huntsville, AL 35801

RIA

CRD#: 110826

HUNTSVILLE, AL

Current

December 14, 2017 - Present

NYLIFE SECURITIES LLC

Office #1: 720 Gallatin Street Sw Suite 200, Huntsville, AL 35801

CRD#: 5167

Huntsville, AL

Past

February 2, 2017 - August 1, 2017

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

SADDLE BROOK, NJ

Past

January 24, 2017 - August 1, 2017

MML INVESTORS SERVICES, LLC

CRD#: 10409

SADDLE BROOK, NJ

Past

April 23, 2016 - November 7, 2016

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

COLUMBUS, OH

Past

April 22, 2016 - November 7, 2016

PARK AVENUE SECURITIES LLC

CRD#: 46173

COLUMBUS, OH

Past

February 3, 2015 - February 11, 2016

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

COLUMBUS, OH

Past

November 25, 2014 - February 11, 2016

EQUITABLE ADVISORS, LLC

CRD#: 6627

COLUMBUS, OH

Past

April 10, 2014 - December 9, 2014

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

December 6, 2005 - January 31, 2014

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

HARRISBURG, PA

Past

January 10, 2000 - January 31, 2014

NYLIFE SECURITIES LLC

CRD#: 5167

HARRISBURG, PA

Past

March 23, 1993 - May 18, 1999

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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

Alabama
(12/14/2017)

IAR

Alabama
(1/4/2018)

Mississippi
(4/8/2025)

Tennessee
(1/27/2022)

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 65

Date: 1/22/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/10/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/20/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/24/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/15/2004

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 8/19/1998

Investment Company Products/Variable Contracts Principal 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

Frank R. Jones

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Frank Rogers Jones III's CRS (Customer Relationship Summary).

Certified licenses

Experience

NYLIFE SECURITIES LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

PRUCO SECURITIES, LLC.

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

EAGLE STRATEGIES LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/22/2015

Series 63

Date: 3/10/1993

SIE

Date: 10/1/2018

Series 7

Date: 4/20/2002

Series 6

Date: 2/24/1993

Series 24

Date: 5/15/2004

Series 26

Date: 8/19/1998

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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