Kathleen C. Fox

EAGLE STRATEGIES LLC

NEWPORT BEACH, CA 92660

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CRD#: 3206329

Professional summary

Kathleen Carey Fox, who also goes by Kathleen Nora Carey Ms, Kathy Carey, Kathleen Nora Carey, is a registered financial advisor currently at EAGLE STRATEGIES LLC located in Newport Beach, California and NYLIFE SECURITIES LLC located in Newport Beach, California.

Kathleen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Kathleen has worked at 9 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Kathleen Nora Carey Ms | Kathy Carey | Kathleen Nora Carey

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.

[Kappa Kappa Gamma Sorority; Financial Advisor Delta Gamma Chapter. I approve checks, work on balancing the budget and cost containment. ; 605 MAC Avenue, East Lansing Michigan 48823; Start Date 09/2021; Role/Title: Board Member; Not Investment Related; 5 hours per month; 0 hours per month during securities trading hours; attend meetings with the house board to determine the use of funds for events, room and board, and any other financial activities and obligations of members. I approve member resignations, approve checks written by the treasurer of the sorority, and oversee the financial aspects of the sorority][June Lake Loop Performing Arts Association; The organization provides cultural enrichment by supporting the creative and performing arts in Mono County. We host, sponsor and fund a range of educational, exhibitive and performing arts opportunities and events.; P.O. Box 405 June Lake, CA? 93529; Start Date 02/2025; Role/Title: Officer; Not Investment Related; 25 hours per month; 0 hours per month during securities trading hours; engage with businesses to get donations for the organization ]

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Carey Fox'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®

None

Experience

Current

August 29, 2024 - Present

EAGLE STRATEGIES LLC

Office #1: 888 San Clemente Drive Suite 400, Newport Beach, CA 92660

RIA

CRD#: 110826

NEWPORT BEACH, CA

Current

September 11, 2023 - Present

NYLIFE SECURITIES LLC

Office #1: 888 San Clemente Drive Suite 250, Newport Beach, CA 92660-6368

CRD#: 5167

Newport Beach, CA

Past

October 4, 2017 - April 30, 2018

BURKE & QUICK PARTNERS LLC

CRD#: 153521

El Segundo, CA

Past

November 17, 2015 - March 31, 2016

B. RILEY & CO., LLC

CRD#: 40355

LOS ANGELES, CA

Past

February 1, 2005 - November 12, 2015

BTIG, LLC

CRD#: 122225

LOS ANGELES, CA

Past

June 10, 2003 - January 19, 2005

THE SHEMANO GROUP, INC.

CRD#: 35528

SAN FRANCISCO, CA

Past

December 14, 2000 - March 18, 2003

WEDBUSH SECURITIES INC.

CRD#: 877

PASADENA, CA

Past

August 16, 2000 - September 19, 2000

WELLS FARGO SECURITIES, LLC

CRD#: 7665

SAN FRANCISCO, CA

Past

June 3, 1999 - August 17, 2000

ROBERTSON STEPHENS, INC.

CRD#: 41271

SAN FRANCISCO, CA

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

Arizona
(9/13/2024)

California
(9/26/2023)

IAR

California
(8/29/2024)

Florida
(11/2/2023)

Michigan
(11/3/2023)

Minnesota
(9/25/2025)

North Carolina
(11/6/2023)

Tennessee
(12/20/2024)

Texas
(8/4/2025)

IAR

Texas
(8/21/2025)

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: 8/26/2024

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/25/2023

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 9/11/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/7/2023

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 8/27/1999

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 6/2/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/30/2018

General Securities Principal 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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Advisor Monitoring

Firm Stability Insights

Kathleen C. Fox

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kathleen Carey Fox's CRS (Customer Relationship Summary).

Certified licenses

Experience

NYLIFE SECURITIES LLC

BURKE & QUICK PARTNERS LLC

B. RILEY & CO., LLC

BTIG, LLC

THE SHEMANO GROUP, INC.

WEDBUSH SECURITIES INC.

WELLS FARGO SECURITIES, LLC

ROBERTSON STEPHENS, INC.

Primary Firm SEC Registration

EAGLE STRATEGIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/26/2024

Series 63

Date: 9/25/2023

Series 7TO

Date: 9/11/2023

SIE

Date: 8/7/2023

Series 55

Date: 8/27/1999

Series 7

Date: 6/2/1999

Series 24

Date: 1/30/2018

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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