James Collins
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.
James Collins, who also goes by James Patrick Collins, Jim Collins, Jp Collins, Jimmy Collins, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1999. James had worked at 3 firms and has passed the Series 66, Series 63, Series 65, Series 7TO, Series 6TO, SIE, Series 7, Series 55 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2024 - March 6, 2026
EAGLE STRATEGIES LLC
August 25, 2022 - March 6, 2026
NYLIFE SECURITIES LLC
May 17, 1999 - November 1, 2002
MAKEFIELD SECURITIES CORPORATION
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
Series 7TO
Date: 11/17/2023
General Securities Representative ExaminationSeries 6TO
Date: 8/25/2022
Investment Company Products/Variable Contracts Representative ExaminationSeries 55
Date: 12/21/1999
Limited Representative-Equity Trader ExamSeries 62
Date: 5/14/1999
Corporate Securities Limited Representative ExaminationCurrent 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.
