Chay Tran
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.
Chay Tran was a registered financial professional .
Chay is a previously registered financial professional and started their career in finance in 2007. Chay had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2017 - May 14, 2018
EAGLE STRATEGIES LLC
November 21, 2017 - May 14, 2018
NYLIFE SECURITIES LLC
March 31, 2015 - December 31, 2015
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
March 28, 2014 - December 31, 2015
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
September 6, 2013 - November 26, 2013
SIGNATOR INVESTORS, INC.
August 21, 2013 - November 26, 2013
SIGNATOR INVESTORS, INC.
May 3, 2013 - August 15, 2013
P.J. ROBB VARIABLE, LLC
June 23, 2011 - September 23, 2011
FIRST COMMAND BROKERAGE SERVICES, INC.
April 21, 2011 - September 23, 2011
FIRST COMMAND BROKERAGE SERVICES, INC.
November 11, 2009 - July 30, 2010
MSI FINANCIAL SERVICES, INC.
May 27, 2009 - August 7, 2009
NATIONAL PLANNING CORPORATION
March 4, 2008 - November 10, 2008
INTEGRAL FINANCIAL LLC
April 5, 2007 - July 20, 2007
NYLIFE SECURITIES LLC
February 15, 2007 - March 5, 2007
MML INVESTORS SERVICES, LLC
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.
