Stephen Lee

EAGLE STRATEGIES LLC

WEST ISLIP, NY

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CRD#: 3182026

Professional summary

Stephen Lee, CIMA® is a registered financial advisor currently at EAGLE STRATEGIES LLC located in West Islip, New York and NYLIFE SECURITIES LLC located in New York, New York.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Stephen has worked at 8 firms and has passed the Series 66, SIE, Series 3, Series 7, Series 24 and Series 30 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.

[Insurance Brokering; APPOINTED WITH OUTSIDE INSURANCE CARRIERS FOR THE PURPOSE OF BROKERING NON-REGISTERED INSURANCE PRODUCTS; One World Trade Center, 285 Fulton Street, 39th Floor, New York, NY 10007; Start Date 07/2025; Role/Title: Insurance Broker; Investment Related; 5 hours per month; 5 hours per month during securities trading hours]

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Lee'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

June 8, 2021 - Present

EAGLE STRATEGIES LLC

Office #2: New York Life Ins Company 120 Broadway 29th Floor, New York, NY, 10271

RIA

CRD#: 110826

WEST ISLIP, NY

Current

February 22, 2021 - Present

NYLIFE SECURITIES LLC

Office #1: 1 World Trade Center 285 Fulton Street 39th Fl, New York, NY, 10007-0166

CRD#: 5167

NEW YORK, NY

Past

December 6, 2017 - January 8, 2021

KPG CAPITAL PARTNERS, LLC

CRD#: 165392

PARK CITY, UT

Past

June 9, 2017 - November 21, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

June 9, 2017 - November 21, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

May 1, 2010 - February 13, 2017

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

RIA

CRD#: 108257

BOSTON, MA

Past

May 1, 2010 - February 13, 2017

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

CRD#: 840

NEW YORK, NY

Past

April 18, 2006 - May 1, 2010

BOFA ADVISORS, LLC

RIA

CRD#: 107900

NEW YORK, NY

Past

April 6, 2006 - May 1, 2010

BOFA DISTRIBUTORS, INC.

CRD#: 30683

NEW YORK, NY

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

California
(4/13/2021)

Connecticut
(3/11/2021)

District of Columbia
(10/30/2023)

Florida
(3/11/2021)

Maryland
(3/11/2021)

Massachusetts
(2/8/2022)

Michigan
(10/30/2023)

Minnesota
(10/30/2023)

New Jersey
(8/24/2021)

New York
(2/22/2021)

IAR

New York
(6/8/2021)

Pennsylvania
(10/30/2023)

Tennessee
(4/4/2025)

Virginia
(8/31/2021)

Wyoming
(11/13/2024)

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 66

Date: 5/20/2021

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 7/24/2018

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/5/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/1/2022

General Securities Principal Examination

Principal/Supervisory Exam

Series 30

Date: 8/1/2018

NFA Branch Manager 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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Stephen Lee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Lee's CRS (Customer Relationship Summary).

Certified licenses

Experience

NYLIFE SECURITIES LLC

KPG CAPITAL PARTNERS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.

BOFA ADVISORS, LLC

BOFA DISTRIBUTORS, INC.

Primary Firm SEC Registration

EAGLE STRATEGIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/20/2021

SIE

Date: 10/1/2018

Series 3

Date: 7/24/2018

Series 7

Date: 4/5/2006

Series 24

Date: 7/1/2022

Series 30

Date: 8/1/2018

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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