Kathryn L. Kelley
EAGLE STRATEGIES LLC
TOLEDO, OH 43604
Some features on this profile are disabled
CRD#: 3091778
Professional summary
Kathryn Lee Kelley, CFP®, who also goes by Kathryn Lee Sharpe, Kathryn Lee Sharpe-kelley, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Toledo, Ohio and NYLIFE SECURITIES LLC located in Toledo, Ohio.
Kathryn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Kathryn has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kathryn Lee Sharpe | Kathryn Lee Sharpe-Kelley
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; 1 SOUTH ST. CLAIR ST, STE 2D, TOLEDO, OH 43604; ROLE/TITLE: INSURANCE BROKER; INVESTMENT RELATED; 2 HOURS PER MONTH; 2 HOURS PER MONTH DURING SECURITIES TRADING HOURS] [YMCA OF GREATER TOLEDO; 1500 N. SUPERIOR STREET, 2ND FLOOR, TOLEDO, OH 43604; ROLE/TITLE: FITNESS INSTRUCTOR; NOT INVESTMENT RELATED; 5 HOURS PER MONTH; 0 HOURS PER MONTH DURING SECURITIES TRADING HOURS] [NOTARY PUBLIC; 1 SOUTH ST. CLAIR STREET, TOLEDO, OH 43604; START DATE 01/2015; ROLE/TITLE: NOTARY; NOT INVESTMENT RELATED; 1 HOURS PER MONTH; 1 HOURS PER MONTH DURING SECURITIES TRADING HOURS] [Advocating Opportunity; Advocating Opportunity (AO) provides legal services and whole person advocacy for trafficked and exploited persons.; 1119 Adams Street, Second Floor Toledo, Ohio 43604; Start Date 10/2016; Role/Title: Board Member; Not Investment Related; 2 hours per month; 0 hours per month during securities trading hours] [Arts Commission of Greater Toledo; The Arts Commission has provided quality arts programming and services to the metropolitan Toledo area.; 1838 Parkwood Ave Suite 120 Toledo, OH 43604; Start Date 01/2018; Role/Title: Board Member; Not Investment Related; 1 hours per month; 0 hours per month during securities trading hours] [SFG Holdings, LLC; I am 1/3 owner of the above listed LLC. The LLC owns a building that will be used as our detached office.; 413 Washington Street, Toledo, OH 43604; Start Date 06/2021; Role/Title: Owner; Not Investment Related; 5 hours per month; 0 hours per month during securities trading hours; bldg management] [OPERATING UNDER THE DBA NAME OF SILAS PARKER & ASSOCIATES LLC FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; ASSOCIATE; TOLEDO, OH; START DATE: XX09021] [OPERATING UNDER THE DBA NAME OF Premise Financial Planning, LLC D/B/A Premise Financial Group FOR THE PURPOSE OF SELLING NEW YORK LIFE PRODUCTS AND SERVICES AS WELL AS BROKERING NON-REGISTERED INSURANCE PRODUCTS; INVESTMENT RELATED; OWNER; TOLEDO, OH; START DATE: 03/2023]
CRS (Client Relationship Summary) - RIA
Click below to view Kathryn Lee Kelley'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®
CFP®
Start date: 2019
Experience
Current
December 21, 2012 - Present
EAGLE STRATEGIES LLC
Office #1: 413 Washington Street, Toledo, OH 43604RIA
CRD#: 110826
TOLEDO, OH
Current
November 21, 2012 - Present
NYLIFE SECURITIES LLC
Office #1: 413 Washington Street, Toledo, OH 43604BD
CRD#: 5167
Toledo, OH
Past
October 6, 2011 - October 10, 2012
THE HUNTINGTON INVESTMENT COMPANY
RIA
CRD#: 16986
TOLEDO, OH
Past
October 6, 2011 - October 10, 2012
THE HUNTINGTON INVESTMENT COMPANY
BD
CRD#: 16986
TOLEDO, OH
Past
April 27, 2007 - October 5, 2011
KEY INVESTMENT SERVICES LLC
RIA
CRD#: 136300
TOLEDO, OH
Past
April 26, 2007 - October 5, 2011
KEY INVESTMENT SERVICES LLC
BD
CRD#: 136300
TOLEDO, OH
Past
June 23, 2003 - April 27, 2007
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
MAUMEE, OH
Past
April 28, 2003 - April 27, 2007
NYLIFE SECURITIES LLC
BD
CRD#: 5167
MAUMEE, OH
Past
September 28, 2001 - April 17, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
COLUMBIA, MD
Past
September 13, 2001 - April 17, 2003
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
September 13, 2001 - April 17, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
Past
June 19, 2000 - September 4, 2001
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, 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".
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(7/19/2013)
RR
California(6/10/2021)
RR
Colorado(7/31/2025)
RR
Florida(10/16/2020)
RR
Illinois(7/17/2024)
RR
Indiana(3/11/2022)
RR
Maryland(1/14/2013)
RR
Michigan(1/10/2013)
RR
North Carolina(9/4/2020)
RR
Ohio(11/21/2012)
IAR
Ohio(12/21/2012)
RR
Oklahoma(7/13/2021)
RR
Tennessee(6/28/2024)
RR
Texas(7/16/2021)
IAR
Texas(7/29/2021)
RR
Virginia(3/20/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
