JC
John B. Coats
EAGLE STRATEGIES LLC
THE DALLES, OR 97058-1740
Some features on this profile are disabled
CRD#: 2784990
JC
Professional summary
John Benson Coats, ChFC®, CLU® is a registered financial advisor currently at EAGLE STRATEGIES LLC located in The Dalles, Oregon and NYLIFE SECURITIES LLC located in The Dalles, Oregon.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. John has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
[TEACHER - 316 W 21ST STREET, THE DALLES, OR. 97058. AGENT TEACHES TAI CHAI CHUAN ONE HOUR PER WEEK AT A LOCAL ATHLETIC CLUB AND IS COMPENSATED VIA WAGES. THE AMOUNT OF TAXABLE INCOME REPORTED IN 2010 WAS $100, AND AN ESTIMATED $500 WILL BE REPORTED FOR 2011]. [APPOINTED WITH OUTSIDE INSURANCE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS: INVESTMENT RELATED; INSURANCE BROKER; START DATE 9/2004] [OPERATING UNDER THE DBA NAME OF JOHN COATS FINANCIAL GROUP FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; OWNER; THE DALLES, OR; START DATE: 05/2015] [Rental Property; We may rent a house to my son or another individual. The house does not become ours till the end of December 2022. We inherited a house. We may rent when the estate settles.; 5478 Cherry Heights Rd. The Dalles, OR 97058; Start Date 01/2023; Role/Title: Owner; Not Investment Related; 0 hours per month; 0 hours per month during securities trading hours; collect rent] [John B Coats, LLC; LLC created for payroll purposes; 312 Federal Street/PO Box 311, The Dalles, OR 97058; Start Date 09/2013; Role/Title: Owner; Not Investment Related; 2 hours per month; 2 hours per month during securities trading hours; John had to create an LLC in order to pay staff]
CRS (Client Relationship Summary) - RIA
Click below to view John Benson Coats'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®
Experience
Current
June 25, 2004 - Present
EAGLE STRATEGIES LLC
Office #1: 312 Federal Street, The Dalles, OR 97058-1740RIA
CRD#: 110826
THE DALLES, OR
Current
October 31, 1996 - Present
NYLIFE SECURITIES LLC
Office #1: 312 Federal Street, The Dalles, OR 97058-1740BD
CRD#: 5167
The Dalles, OR
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
Arizona(7/27/2023)
RR
California(7/17/2000)
RR
Colorado(5/16/2023)
RR
Florida(5/4/2022)
RR
Hawaii(1/11/2005)
RR
Idaho(8/21/2023)
RR
New Mexico(2/27/2024)
RR
Oregon(11/6/1996)
IAR
Oregon(6/25/2004)
RR
Texas(7/27/2023)
IAR
Texas(8/2/2023)
RR
Virginia(11/30/2022)
RR
Washington(5/19/1997)
RR
Wyoming(7/15/2021)
Exams
State Security Law 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.
