LK
Lori L. Kaplan
EAGLE STRATEGIES LLC
CHESTERLAND, OH
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CRD#: 2863665
LK
Professional summary
Lori Lynn Kaplan, ChFC®, CLU®, who also goes by Lori Lynn Pritzker, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Chesterland, Ohio and NYLIFE SECURITIES LLC located in Independence, Ohio.
Lori is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Lori has worked at 5 firms and has passed the Series 66, Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Lori Lynn Pritzker
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 outside carriers for the purpose of brokering non-registered insurance products;3601 Green Road Suite 206 Beachwood OH 44122; Start Date 05/2019; Role/Title: Insurance Broker; Investment Related; 2 hours per month; 2 hours per month during securities trading hours] [Juice Plus +; MLM providing subscription nutritional supplements to consumers; 12823 Cherry Lane Chesterland OH 44026; Start Date 08/2024; Role/Title: Independent Contractor; Not Investment Related; 2 hours per month; 0 hours per month during securities trading hours][CONGA Chapter of BNI; Group of individuals in different industries that gather weekly to promote and refer businesses; 12823 Cherry Lane Chesterland OH 44026; Start Date 08/2024; Role/Title: Officer; Not Investment Related; 10 hours per month; 10 hours per month during securities trading hours; Secretary/Treasurer for organization]
CRS (Client Relationship Summary) - RIA
Click below to view Lori Lynn Kaplan'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 12, 2007 - Present
EAGLE STRATEGIES LLC
Office #2: 6100 Oak Tree Blvd Suite 300, Independence, OH 44131RIA
CRD#: 110826
CHESTERLAND, OH
Current
May 12, 2000 - Present
NYLIFE SECURITIES LLC
Office #1: 6100 Oak Tree Blvd. Suite 300, Independence, OH 44131-6970BD
CRD#: 5167
Independence, OH
Past
December 11, 1998 - May 4, 2000
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
EL SEGUNDO, CA
Past
October 21, 1997 - December 10, 1998
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
July 7, 1997 - October 1, 1997
CARILLON INVESTMENTS, INC.
BD
CRD#: 14646
CINCINNATI, OH
Past
June 13, 1997 - July 7, 1997
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
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
California(8/20/2020)
RR
Colorado(9/21/2021)
RR
Florida(10/15/2010)
RR
Georgia(10/17/2025)
RR
Maryland(5/27/2020)
RR
Michigan(1/5/2022)
RR
New York(10/19/2020)
RR
North Carolina(4/21/2025)
RR
Ohio(5/12/2000)
IAR
Ohio(6/12/2007)
RR
Pennsylvania(5/22/2012)
RR
Texas(6/8/2017)
IAR
Texas(6/22/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
